forest stewardship council...with the approval of fsc-std-60-004 v1-0 en the fsc international...

Forest Stewardship Council®

FSC National Forest Stewardship

Standard of the People's Republic of

China


Title The FSC National Forest Stewardship Standard of the

People's Republic of China

Document reference code: FSC-STD-CHN-01-2016 1-0 Natural forests and planta-

tions

Status: Approved

Geographical Scope: People’s Republic of China (not including Hong Kong,

Taipei and Macao)

Forest Scope: The standard applies to all types of forest including natu-

ral forests and plantations

Approval body: Policy and Standards Committee

Submission date: 29. April 2016

Approval date: 7. July 2016

Effective date: 1 October 2018

Validity Period: Five years after the effective date

Country Contact:

FSC (Beijing) Global Forestry Management Consulting

Co., Ltd

Rm.A-306, Building 4, Beijing Inn

Dongcheng District Beijing, China 100010

+86-(10) 58641358

+86-(10) 58641358

[email protected]

FSC Performance and Stand-

ards Unit Contact

FSC International Center

- Performance and Standards Unit -

Adenauer Allee 134

53113 Bonn, Germany

+49-(0)228-36766-0

+49-(0)228-36766-30

[email protected]

mailto:[email protected]



A.C. All rights reserved.

No part of this work covered by the publisher’s copyright may be reproduced or copied in

any form or by any means (graphic, electronic or mechanical, including photocopying, re-

cording, recording taping, or information retrieval systems) without the written permission of

the publisher.

The Forest Stewardship Council® (FSC) is an independent, not for profit, non-government

organization established to support environmentally appropriate, socially beneficial, and

economically viable management of the world's forests.

FSC’s vision is that the world’s forests meet the social, ecological, and economic rights and

needs of the present generation without compromising those of future generations.

Photo Credit.

From Left to Right:

Photo 1: Natural Forest in Xixi Wetland in Hangzhou, China (Credit by Wang Yanyan)

Photo 2: Local monk who lives nearby the FSC certified forest farm, Fujian Province (Credit

by Xu Yang)

Photo 3: FSC certified Factory in Southern of China (Credit by Xu Yang)


Contents

Preface ...................................................................................................................................... 1

Descriptive Statement of Standard Development Group .......................................................... 2

Preamble ................................................................................................................................... 3

Purpose of the standard ............................................................................................................ 3

Scope of the standard................................................................................................................ 4

Standard development process ................................................................................................. 4

Version of the standard ............................................................................................................. 4

Context ...................................................................................................................................... 5

References ................................................................................................................................ 6

Note and verifier on the interpretation of indicators ................................................................... 7

Scale, Intensity and Risk (SIR) .................................................................................................. 9

Stakeholder engagement methodology ................................................................................... 10

High Conservation Values (HCV) ............................................................................................ 11

Bamboo forests and plantations .............................................................................................. 11

Principles, Criteria and National Indicators ............................................................................. 13

Annex 1 List of applicable laws, regulations and nationally-ratified international treaties,

conventions and agreements .................................................................................................. 61

Annex 2A Training requirements for workers .......................................................................... 72

Annex 2B Personal protective equipment for workers ............................................................ 73

Annex 5 Claims for Ecosystem Services ................................................................................. 74

Annex 6 The China Biodiversity Red List ................................................................................ 78

Annex 7A Elements of the Management Plan. ........................................................................ 78

Annex 7B Framework for Planning and Monitoring (example) ................................................ 80

Annex 8 Monitoring Requirements .......................................................................................... 82

Annex 9A Strategies for maintenance of HCVs ...................................................................... 84

Annex 9B Sources of information for identification of HCVs ................................................... 86

Annex 11 Guidance documents for small organizations ......................................................... 88

FSC Glossary of Terms ........................................................................................................... 89


1

Preface

Descriptive statement of the Forest Stewardship Council (FSC)

The Forest Stewardship Council A.C. (FSC) was established in 1993, as a follow-up to the

United Nations Conference on Environment and Development (the Earth Summit at Rio de

Janeiro, 1992) with the mission to promote environmentally appropriate, socially beneficial,

and economically viable management of the world’s forests.

Environmentally appropriate forest management ensures that the production of timber, non-

timber products and ecosystem services maintains the forest’s biodiversity, productivity, and

ecological processes. Socially beneficial forest management helps both local people and soci-

ety at large to enjoy long term benefits and also provides strong incentives to local people to

sustain the forest resources and adhere to long-term management plans. Economically viable

forest management means that forest operations are structured and managed so as to be

sufficiently profitable, without generating financial profit at the expense of the forest resource,

the ecosystem, or affected communities. The tension between the need to generate adequate

financial returns and the principles of responsible forest operations can be reduced through

efforts to market the full range of forest products and services for their best value (FSC A.C.

By-Laws, ratified, September 1994; last revision in June 2011).

FSC is an international organization that provides a system for voluntary accreditation and

independent third-party certification. This system allows certificate holders to market their

products and services as the result of environmentally appropriate, socially beneficial and

economically viable forest management. FSC also sets standards for the development and

approval of FSC Stewardship Standards which are based on the FSC Principles and Criteria.

In addition, FSC sets standards for the accreditation of Conformity Assessment Bodies (also

known as Certification Bodies) that certify compliance with FSC’s standards. Based on these

standards, FSC provides a system for certification for organizations seeking to market their

products as FSC certified.

Descriptive statement of the FSC National Office

The FSC National Office of the People’s Republic of China (in the following referred to as FSC

National Office) was legally registered on June 8th 2015. The FSC National Office is a legally

established and independent FSC partner organization promoting responsible management of

the world’s forest on behalf of FSC at the national level.

The FSC National Office represents FSC in the People’s Republic of China to stakeholders,

governmental institutions and communicates important viewpoints of national stakeholders to

FSC International. In addition, FSC certification is enhanced and consistent, rigorous, trans-

parent and participative application of the FSC system is assisted. The FSC National Office

coordinates the development of and manages the FSC National Forest Stewardship Standard.


2

Further information can be obtained from https://cn.fsc.org/cn-cn.

Descriptive Statement of Standard Development Group

The Chinese Standard Development Group (SDG) is an independent chamber balanced

group, composed of members of the environmental, economic and social chambers. The

SDG’s objective is to develop and maintain the FSC National Forest Stewardship Standard

according to FSC International’s standards and procedures. The Standard development Group

is coordinated by Mr. Ma Lichao (FSC National Office, [email protected]) and Ms. Wang

Yanyan (FSC National Office, [email protected]).

The SDG consists of the following members:

Economic

Mr.Hu Yuanhui State Forestry Administration

Ms. Tai Wen IKEA Trading Service Co., Ltd (China)

Ms. Cui Yajun China Jilin Forest Industry Group

Mr. Zhong Zhaoquan Fujian Shunchang Forest Bureau

Environmental

Mr. Zhang Xiaoquan The Nature Conservancy

Mr. Chen Junqi Bejing Forestry Society

Mr. Huang Wenbin World Wide Fund for Nature

Social

Mr.Ma Ying Solidaridad

Mr.Wang Aimin Global Environmental Institute

https://cn.fsc.org/cn-cn




Preamble

Purpose of the standard

This standard sets out the required elements against which FSC accredited Certification Bod-

ies shall evaluate forest management practices in China within the scope (see 2.2.below) of

the standard.

The FSC Principles and Criteria (P&C) for Forest Stewardship provides are an internationally

recognized standard for responsible forest management. However, any international standard

for forest management needs to be adapted at the regional or national level in order to reflect

the diverse legal, social and geographical conditions of forests in different parts of the world.

The FSC P&C therefore require the addition of indicators that are adapted to regional or na-

tional conditions in order to be implemented at the Forest Management Unit (FMU) level.

With the approval of FSC-STD-60-004 V1-0 EN the FSC International Generic Indicators (IGI)

by the FSC Board of Directors in March 2015, the adaptation of the P&C to regional or nation-

al conditions is done using the IGI standard as the starting point. This has the advantage to:

Ensure the consistent implementation of the P&C across the globe;

Improve and strengthen the credibility of the FSC System;

Improve the consistency and quality of National Forest Stewardship Standards;

Support a faster and more efficient approval process of National Forest Stewardship Stand-

ards.

The FSC Principles and Criteria together with a set of national indicators approved by FSC

Policy and Standards Committee (PSC) constitute an FSC National Forest Stewardship

Standard (NFSS).

The development of NFSS follows the requirements set out in the following FSC normative

documents:

FSC-PRO-60-006 V2-0 EN Development and Transfer of National Forest Stewardship

Standards to the FSC Principles and Criteria Version 5-1;

FSC-STD-60-002 (V1-0) EN Structure and Content of National Forest Stewardship Standards

AND

FSC-STD-60-006 (V1-2) EN Process requirements for the development and maintenance of

National Forest Stewardship Standards.

The above documents have been developed by the FSC Performance and Standards Unit

(PSU) to improve consistency and transparency in certification decisions between different

Certification Bodies in the region/nation and in different parts of the world, and thereby to en-

hance the credibility of the FSC certification scheme as a whole.


4

Scope of the standard

This standard is applicable to all forest operations seeking FSC certification within the Peo-

ple's Republic of China (not including Hong Kong, Taipei and Macao). It applies to all types of

forest including natural forest and plantations.

This standard applies at the Forest Management Unit level and is applicable to all scales and

intensities of forest management operations.

Standard development process

The standard development process was registered by the FSC Performance and Standards

Unit in December 2013 (Policy and Standards Unit at that time). The process included the

development of three subsequent draft standards, while each has been publically consulted

for a period of 2 months. The draft standard 1.0 was released on 19th August, 2014, the draft

standard 2.0 was released on 28th January, 2015 and the draft standard 3.0 was released on

28th September, 2015.

The Standard Development Group had a total of 4 face-to-face meetings during the standard

development process. These meetings were followed up via email, telephone calls and online

meetings as necessary. Each public consultation included a physical stakeholder meeting

during which key stakeholders received progress updates and were asked to provide their

opinions and general feedback. In addition, draft standards were distributed via email and

other means to receive specific feedback on draft national indicators.

The draft standard 2.0 was field tested in March 2015 for two different forest management

types at different locations. This included a large scale forest management unit in the North of

China and a small scale group certification scheme.

The draft standard 3.0 was based on the final version of the International Generic Indicators

(IGIs), which became effective on 01. September, 2015, and incorporated the comments re-

ceived from key stakeholders during public consultations and field testing. The draft standard

3.0 was send to FSC Int. for approval in April 2016 and was approved on July 7th, 2017.

Further information can be obtained from the FSC National Office ([email protected]).

Version of the standard

The current version of the FSC National Forest Stewardship Standard for the People’s Repub-

lic of China is FSC-STD-CHN-01-2016 1-0. This version was formally approved by FSC Inter-

national on 7 July 2016 and per default remains valid for a period of 5 years after its effective

date of 1 October 2018, until 1 October of 2023.Next anticipated revision is going to take place

in 2021.


5

The standard was developed based on consensus of the SDG members that it has undergone

sufficient consultation, testing and merits the approval by FSC. The standard meets the aims

and objectives of SDG members and is believed to be an important resource for the promotion

of responsible forest management in the People’s Republic of China.

Context

This standard was developed by the Standard Development Group China, coordinated by Mr.

Ma Lichao (FSC National Office) and Ms. Wang Yanyan (FSC National Office).

The Forest Stewardship Council would like to thank the Standard Development Group for their

collaboration based on mutual trust and dialogue. Furthermore, the Forest Stewardship Coun-

cil is grateful to Dr. Xiao Jianmin and Zhao Jie from the Chinese Academy of Forestry for

providing drafting services, Professor Li Tienan and Lu shihua for providing technical supports,

while thanking Xu Bin from the Chinese Academy of Forestry, Li Fengri from the Northeast

Forestry University and Zheng Xiaoxian from the Beijing Forestry University for providing es-

sential advice during the standard development process.


6

References

The following referenced documents are relevant for the application of this standard. For ref-

erences without a version number, the latest edition of the referenced document (including any

amendments) applies.

FSC-POL-01-004 Policy for the Association of Organizations with FSC

FSC-POL-20-003 The Excision of Areas from the Scope of Certification

FSC-POL-30-001 FSC Pesticides Policy

FSC-POL-30-401 FSC Certification and the ILO Conventions

FSC-POL-30-602 FSC Interpretation on GMOs (Genetically Modified Organisms)

FSC-STD-01-002 Glossary of Terms

FSC-STD-01-003 SLIMF Eligibility Criteria

FSC-STD-20-007 Forest Management Evaluations

FSC-STD-30-005 FSC Standard for Group Entities in Forest Management Groups

FSC-STD-60-002 Structure and Content of National Forest Stewardship Standards

FSC-STD-60-006 Development of National Forest Stewardship Standards

FSC-PRO-01-001 The Development and Revision of FSC Normative Documents

FSC-PRO-01-005 Processing Appeals

FSC-PRO-01-008 Processing Complaints in the FSC Certification Scheme

FSC-PRO-01-009 Processing Policy for Association Complaints in the FSC Certification

Scheme

FSC-DIR-20-007 FSC Directive on Forest Management Evaluations


7

Note and verifier on the interpretation of indicators

For each Criterion a number of indicators are listed. The indicator is applicable to all sizes of

organizations, intensities of forest management and types of forest including natural forest and

plantation.

This standard includes notes that specify aspects of indicators and as such are normative,

i.e. they have to be followed by FSC Certificate Holders. These notes apply for all organiza-

tions, unless specific thresholds are given that limit their applicability.

Any specification or condition that is given in notes is normative. some notes utilize the word

“may”, to define in specific conditions, FSC certificate holders have the option to act differently

from what is defined in the parenting indicator or previous notes under that indicator. The

intention is to provide flexibility for FSC certificate holders.

Example box 1

Indicator 2.3.2 Workers have personal protective equipment appropriate to their as-

signed tasks.

Note 1: In this indicator appropriate means personal protective equipment as listed in

Annex 2B.

Explanation: This note specifies that personal protective equipment as listed in Annex 2B has

to be used. This note is normative, i.e. workers must have this specific protective equipment.

In case of non-compliance auditors have to issue corrective action request(s).

Note 2: If the employer provides evidence that other equipment not listed in Annex 2B attains

similar protection effects or even better, the organization may use this equipment.

Explanation: This note provides flexibility to utilize personal protective equipment that is not

listed in Annex 2B, under the premise that this protective equipment is at least as safe and

that evidence is provided accordingly. The option ‘may use other equipment’ is linked to the

requirement ‘that evidence must be provided’. In case evidence is not provided auditors have

to issue corrective action request(s).

This standard also includes notes for small organizations that specify aspects of indicators

and as such are normative, i.e. they have to be followed by FSC Certificate Holders that meet

the size threshold specified for small organizations (≤ 500 ha).

In many cases small organizations (e.g. farmers associations, family enterprises, local com-

panies) are exempt from requirements that apply for medium and large organizations (e.g.

state owned forest farms, national or multinational companies) due to the low impact these

organizations are likely to have on their environment or due to their limited socio-economic


8

spheres of influence. Additionally, requirements related to documentation or establishment of

written procedures impose comparatively high administrative burdens for small organizations

and as such might exclude them from the benefits of FSC certification.

Any specification or condition that is given in notes is normative. some notes utilize the word

“may”, to define how small organizations have the option to act differently from what is defined

in the parenting indicator or previous notes under that indicator. The intention is to provide

flexibility for small organizations.

Example box 2

Indicator 8.1.1 Procedures are documented and executed for monitoring* the implementation

of the Management Plan* including its policies and management objectives* and achieve-

ment of verifiable targets*.

Note for Small Organizations: Small organizations may choose to not document proce-

dures, but demonstrate that the implementation of the management plan is monitored.

Explanation: This note provides flexibility for small organisations to reduce administrational

burden(s) and related costs, under the premise that the implementation of the management

plan is being monitored. The option ‘may choose to not document’ is linked to the require-

ment ‘that implementation of the management plan must be monitored ’. In case monitoring

results are not provided auditors have to issue corrective action request(s).

Indicator 8.4.1 A summary of the monitoring* results consistent with Annex 8, in a format

comprehensible to stakeholders including maps and excluding confidential information* is

made publicly available* at no cost.

Note for Small organizations: Small organizations may provide monitoring results upon

request.

Explanation: This note provides flexibility for small organisations to reduce administrational

burden(s) and related costs, in the sense that a summary of monitoring results has to be pro-

vided only upon request. However, in case a stakeholder has requested a summary and has

not received it, auditors have to issue corrective action request(s).

This standard includes verifiers that indicate potential sources of information or evidence that

an auditor may find useful in evaluating conformity, such as records, documents, field obser-

vations or interviews. Verifiers do not define thresholds for conformity,they may be useful also

for the certificate holder for finding means to demonstrate conformity with the indicators. Veri-

fiers are not mandatory.


9

Scale, Intensity and Risk (SIR)

At the time of developing this standard, FSC is in the process of developing a guidance docu-

ment for standard developers (FSC-GUI-60-002) on how to apply the SIR concept at national

level. However, as this standard was developed prior to completion of the guidance, there

might be a discrepancy between the ways the SIR concept is being applied and content of the

final guidance document. Should a discrepancy exist, then it will be addressed as a priority

during review and revision of this standard.

The FSC Principles and Criteria V5 introduced ‚Scale, Intensity and Risk’ as a new concept

into the FSC system. It applies all through the standard but is explicitly mentioned in Principles

7 & 8 and in the following Criteria: 1.7, 2.3, 4.3, 4.4, 4.5, 5.1, 5.4, 5.5, 6.1, 6.2, 6.3, 6.4, 6.5,

7.1, 7.2, 7.6, 8.5, 9.1, 9.3, 9.4, and 10.9.

The three factors ‘Scale, Intensity and Risk’ determine the likelihood that a management ac-

tivity might have a negative impact on social, environmental or economic values associated

with the management unit or the organization.

Thereby, the factors scale and intensity serve as proxies for the factor risk, following the un-

derlying assumption that management activities applied on a small scale and with low intensity

have a low risk of causing negative impacts. The following table provides an overview of appli-

cable thresholds for the factors scale and intensity.

Scale Threshold (area of Management Units)

Small scale ≤ 500 ha

Medium scale Between 500 ha and 50000 ha

Large scale ≥ 50000 ha

Intensity Threshold (management activities)

Low intensity Harvesting rate in the forest management plan period, <20% mean annual increment and annual harvest or average annual harvest< 5,000 m3/year

High intensity Management activities include:

Intensive site preparations;

Application of chemicals or biological agents;

Clear cutting where more than 50% of wood stock in the sub compartment is harvested.


10

To give an example: Small organizations that do not apply high intensity management activi-

ties (e.g. application of pesticides, clear cutting) may reduce assessment frequency of envi-

ronmental values to every 10 years, because the risk of causing negative environmental im-

pacts is low (Criterion 6.1). Small organizations that do apply high intensity management activ-

ities or large organizations have to assess environmental values every 5 years, because the

risk of causing negative environmental impact is moderate to high (Criterion 6.1). This is due

to applying management activities that are high risk in itself (e.g. application of pesticides,

clear cutting) or are being applied at a large scale (e.g. implementation of a road system for

transport of round wood).

Stakeholder engagement methodology

The concept of stakeholder engagement is essential for the application of this standard. It is

embedded in the following management activities:

1. Dispute resolution processes (Criterion1.6, 2.6, 4.6);

2. Definition of Living wages (Criterion 2.4);

3. Identification of rights (Criterion 3.1, 4.1), sites (Criterion 3.5, 4.7) and impacts (Criterion 4.5);

4. Local communities’ socio-economic development activities (Criterion 4.4); and

5. High Conservation Value assessment, management and monitoring (Criterion 9.1, 9.2, 9.4).

It is important to conduct stakeholder engagement in a way that it might result in free, prior

and informed consent, where this standard require to comply with specific requirements of this

standard. Accordingly, organizations have to develop a method for stakeholder engagement

similar to these steps:

1. Determine appropriate representatives and contact points (including where appropriate, local institutions, organizations and authorities);

2. Determine mutually agreed communication channels allowing for information to flow in both directions;

3. Ensure all actors (women, youth, elderly, minorities) are represented and engaged equal-ly equitably;

4. Ensure all meetings, all points discussed and all agreements reached are recorded;

5. Ensure the content of meeting records is approved; and

6. Ensure the results of all culturally appropriate* engagement* activities are shared with those involved.

Last but not least, stakeholder engagement has to be done in a culturally appropriate way to

ensure fair and reliable agreements are in place.

Culturally appropriate: Considers cultural differences, such as communities’ preferences for


11

direct or indirect negotiation; attitudes toward competition, cooperation, and conflict; the desire

to preserve relationships among complainants; authority, social rank, and status; ways of un-

derstanding and interpreting the world; concepts of time management; attitudes toward third

parties.

High Conservation Values (HCV)

A national HCV framework is required when applying this standard. Nonetheless, China fea-

tures large and highly diverse forest areas. Available information on HCV is scattered or defi-

cient at present, and it will take time and resources to collect and/or develop reliable infor-

mation and to assemble it in a centralized manner.

While the national HCV framework is under development, the “Common Guidance” documents

of the HCV Resource Network apply. These are available in Chinese on the FSC China web-

site (https://cn.fsc.org/download-box.173.htm). Organizations have to consider these docu-

ments when establishing their specific HCV management strategies. Certification Bodies have

to use the resources provided by the HCV Resource Network to verify that the organization’s

activities are in compliance with the related indicators.

Annex 9A of this standard provides an overview of possible management strategies for

maintenance or enhancement of HCVs, while Annex 9B provides Best Available Information*

and general information sources for the identification of HCVs in China. Special provisions

apply for small organizations as included in the specific indicators.

The HCV framework will be developed in parallel to the Controlled Wood National risk as-

sessment process. Other institutions such as Global Forest Watch, WWF and Greenpeace

may provide additional data. Such information will be integrated into the framework once they

have been finalized.

Bamboo forests and plantations

China features a great diversity of bamboo species and has the largest bamboo forest cover in

the world. The 8th national forest resource inventory (2009 – 2013) revealed that bamboo

forests cover approx. 6 million hectares, which resembles 2.9% of national forest cover and

27.3% of global bamboo forest cover.

The country has a long history of bamboo management and its production as well as its export

statistics are highest in the world. Accordingly, bamboo is an essential natural resource that

not only contributes to the development of provincial and rural economies, but also provides

an important source of farmers’ income. Major product groups include building materials,

charcoal, furniture and bamboo shoots for consumption purposes.

The subfamily Bambusoidae is diverse and bamboo species can be found in a wide range of


12

climatic conditions and geographic divisions. Growth patterns range from herbaceous and

small to woody and tall. Those woody and tall bamboo species, including sympodial and mon-

opodial growth patterns, have functions and utilities similar to those of tree species.

Therefore, the standard considers this group of bamboo species as being similar to tree spe-

cies that can be managed in the context of natural forests and plantations.

Under the premises that all requirements of this standards are applied, woody and tall

bamboo species are eligible for FSC certification in the context of natural forest and planta-

tions, whereas other forms may be certified as non-timber forest products.

The following table provides an overview of common management approaches related to

bamboo forests.

Forest type Natural forest

(bamboo species

and tree species)

Natural forest

(bamboo species)

Plantation

(bamboo species)

Management

intensity

Low High High

Harvest cycle 8 years 8 years 3-6 years

Harvest method Selective harvest Selective harvest

and clearing of oth-

er species

Partial harvest to

clear cutting

Fertilizers No Yes Yes

Pesticides No Yes Yes

Management approaches that apply agro-chemicals or clear cutting as defined in the chapter

Scale, Intensity and Risk (page 9) are categorized as high intesity management activities.

Moreover, forest conversion as defined in Criteria 6.9 and 6.10 is an important aspect to con-

sider also in the context of bamboo forests. This means that forest conversion to bamboo

forests and plantations is not eligible for FSC certification.


13

Principles, Criteria and National Indicators

PRINCIPLE 1: COMPLIANCE WITH LAWS

The Organization shall comply with all applicable laws, regulations and nationally-ratified in-

ternational treaties, conventions and agreements.

Criterion 1.1 The Organization shall be a legally defined entity with clear, documented and

unchallenged legal registration, with written authorization from the legally competent authority

for specific activities.

Indicator 1.1.1 Legal registration* to carry out all activities within the scope of the certificate is

documented and unchallenged.

Note: If applicable, the organization documents customary rights* that govern use and access

and makes documents publicly available.

Note for Small Organizations: Small organizations may have other kinds of evidence of

their legal existence (legal person), or may not be legally defined or registered.

Note for Group Entities: The forest operation is included in the scope of Business license if

the group entities carry out any forest operation activities.

Indicator 1.1.2 Legal registration* is granted by a legally competent* authority according to

legally prescribed processes.

Criterion 1.2 The Organization shall demonstrate that the legal status of the Management

Unit, including tenure and use rights, and its boundaries, are clearly defined.

Indicator 1.2.1 The organization provides forest tenure license (issued by government or

competent authority) or other related legal evidence that proofs rights of resource manage-

ment and usage within the scope of the certificate.

Verifiers: Forest tenure license, lease contract, collective members voting record with signa-

tures

Indicator 1.2.2 Under forest tenure transfer models, such as subcontract or lease, the organ-

ization provides a copy of forest tenure licence (issued by government or competent authority)

or other related legal evidence that proves rights of resource management and usage within

the scope of the certificate.

Verifiers: Copy of forest tenure license, commercial contract, lease contract, copy of collec-

tive members voting record with signatures

Indicator 1.2.3 Legal* tenure* is granted by a legally competent* authority according to legal-


14

ly prescribed processes.

Indicator 1.2.4 The boundaries of all Management Units* within the scope of the certificate

are clearly marked or documented and clearly shown on maps.

Criterion 1.3. The Organization shall have legal rights to operate in the Management Unit,

which fit the legal status of The Organization and of the Management Unit, and shall comply

with the associated legal obligations in applicable national and local laws and regulations and

administrative requirements. The legal rights shall provide for harvest of products and/or sup-

ply of ecosystem services from within the Management Unit. The Organization shall pay the

legally prescribed charges associated with such rights and obligations.

Indicator 1.3.1 All activities undertaken in the Management Unit* are carried out in compli-

ance with:

1) Applicable laws* and regulations and administrative requirements,

2) Legal* and customary rights*; and

3) Obligatory codes of practice*.

Note: See Annex 1 List of applicable laws*, regulations and nationally-ratified* international

treaties, conventions and agreements

Indicator 1.3.2. Complete payment is made in a timely manner* of all applicable legally pre-

scribed charges connected with forest* management.

Indicator 1.3.3. Activities covered by the management plan* are designed to comply with all

applicable laws*.

Criterion 1.4. The Organization shall develop and implement measures, and/or shall engage

with regulatory agencies, to systematically protect the Management Unit from unauthorized or

illegal resource use, settlement and other illegal activities.

Indicator 1.4.1 Measures are implemented to provide protection* from unauthorized or illegal

harvesting, hunting, fishing, trapping, collecting, settlement and other unauthorized activities.

Indicator 1.4.2 Where protection* is the legal* responsibility of regulatory bodies, a system is

implemented to work with these regulatory bodies to identify, report, control and discourage

unauthorized or illegal* activities.

Indicator 1.4.3 If illegal* or unauthorized activities are detected, measures are implemented

to address them.

Criterion 1.5. The Organization shall comply with the applicable national laws, local laws,

ratified international conventions and obligatory codes of practice, relating to the transporta-

tion and trade of forest products within and from the Management Unit, and/or up to the point

of first sale.


15

Indicator 1.5.1 Compliance with applicable national laws*, local laws*, ratified* international

conventions and obligatory codes of practice* relating to the transportation and trade of forest

products up to the point of first sale is demonstrated.

Indicator 1.5.2 The organization provides CITES licenses when harvesting or trading CITES

species.

Criterion 1.6. The Organization shall identify, prevent and resolve disputes over issues of

statutory or customary law, which can be settled out of court in a timely manner, through en-

gagement with affected stakeholders.

Indicator 1.6.1 A publicly available* dispute resolution process* is in place; developed

through culturally appropriate* engagement* with affected stakeholders*.

Note for Small Organizations: Small organizations are not required to establish a dispute

resolution process in advance. Disputes may be resolved through local legal aid or mediation.

Indicator 1.6.2 Disputes cover legal and customary rights* including but not limited to forest*

ownership, land ownership, and timber ownership.

Indicator 1.6.3 In addition to Indicator 1.6.2 disputes cover:

1) Forest land rental rate adjustments:

2) Compensation for damage resulting from forest management activities;

3) Non-timber forest products collection;

4) Environmental impacts resulting from forest management activities.

Indicator 1.6.4 Disputes that can be settled out of court are responded to in a timely man-

ner*, and are either resolved or are in the dispute resolution process*.

Indicator 1.6.5 Up to date records of disputes related to issues of applicable laws* or cus-

tomary law, are held including:

1) Steps taken to resolve disputes;

2) Outcomes of all dispute resolution processes*; and

3) Unresolved disputes, the reasons they are not resolved, and how they will be resolved.

Indicator 1.6.6 Operations cease in areas where disputes exist:

1) Of large scale *(equal or greater than 500 ha or 10% or more of the forest management

unit, whichever is smaller); or

2) Of substantial duration*(6 months or more); or

3) Involving a significant* number of interests (5 families or more); or

4) Of substantial magnitude * (see definition in glossary of terms)


16

Criterion 1.7. The Organization shall publicize a commitment not to offer or receive bribes in

money or any other form of corruption, and shall comply with anti-corruption legislation where

this exists. In the absence of anti-corruption legislation, The Organization shall implement

other anti-corruption measures proportionate to the scale and intensity of management activi-

ties and the risk of corruption.

Indicator 1.7.1 A policy is implemented that includes a commitment not to offer or receive

bribes of any description.

Note for Small Organizations: Small organizations are not required to establish a policy.

However, other means feasible to them demonstrate commitment not to offer or receive

bribes of any description.

Indicator 1.7.2 The organization establishes an internal procedure, which includes infor-

mation disclosure and procedural transparency, that prevents corruption.

Note for Small Organizations: Small organizations are not required to establish a written

internal procedure. However, other means feasible to them demonstrate commitment not to

offer or receive bribes of any description.

Indicator 1.7.3 The organization establishes specific control measures for those operations

that are especially vulnerable to corruption.

Note for Small Organizations: Small organizations are not required to establish specific

control measures. However, other means feasible to them demonstrate commitment not to

offer or receive bribes of any description.

Indicator 1.7.4 The policy is publicly available* at no cost.

Indicator 1.7.5 Bribery, coercion and other acts of corruption do not occur.

Indicator 1.7.6 Corrective measures are implemented if corruption does occur.

Criterion 1.8. The Organization shall demonstrate a long-term commitment to adhere to the

FSC Principles and Criteria in the Management Unit, and to related FSC Policies and Stand-

ards. A statement of this commitment shall be contained in a publicly available document

made freely available.

Indicator 1.8.1 A written policy, endorsed by an individual from top management with authori-

ty to implement the policy, includes a long-term commitment to forest* management practices

consistent with FSC Principles* and Criteria* and related Policies and Standards.

Indicator 1.8.2 The policy is publicly available* at no cost.


17

PRINCIPLE 2: WORKERS’ RIGHTS AND EMPLOYMENT CONDITIONS

The Organization shall maintain or enhance the social and economic wellbeing of workers*.

Criterion 2.1 The Organization shall uphold the principles and rights at work as defined in the

ILO Declaration on Fundamental Principles and Rights at Work (1998) based on the eight ILO

Core Labour Conventions.

Indicator 2.1.1 Employment practices and conditions for workers* demonstrate conformity

with or uphold the principles and rights of work addressed in the ILO Core Labor Conventions

and the Chinese law to protect worker’s rights.

Indicator 2.1.2 The organization is not engaged or involved in the following activities:

1) Forced Labour as reflected in Chinese law ("Labour Law" Article 96, "Labour Contract Law"

Article 88)

2) Restriction of workers to associate and establish workers' organization as reflected in Chi-

nese law ("Constitution" Article 35).

3) Restriction of workers to organize and bargain collectively as reflected in Chinese law

("Trade Union Law" Article 3).

4). Use of child labour as reflected in Chinese law ("Labour Law" Article 15)

5)Force women to engage in heavy physical work or dangerous jobs as reflected in Chinese

law ("Labour Law" Article 59)

6) Discrimination in respect to employment and occupation as reflected in Chinese law ("La-

bour Law”).

7) Overdue wages as reflected in Chinese law ("Labour Law" Article 50, 51, "Labour Contract

Law" Article 33).

8) Does not pay equal for equal work as reflected in Chinese law ("Labour Law" Article 46)

Indicator 2.1.3 The organization does not force workers directly or indirectly through

measures such as:

1) Seizure of identity cards;

2) Deposits of any kind;

3) Deduction of wages.

Indicator 2.1.4 Student internships are 16 years of age or more.

Note: As reflected in the regulation "Secondary vocational school students practice manage-

ment approach."

Indicator 2.1.5 Workers of age 16-18 that have not entered or finished primary or secondary


18

school are not deprived of their labour rights and may be assigned work without affecting their

health and safety.

Indicator 2.1.6 Employment practises do not involve any of the following activities:

1) Household discrimination;

2) Gender discrimination;

3) Age discrimination;

4) Height discrimination;

5) Political identity discrimination;

6) Qualifications discrimination;

7) Curriculum vitae discrimination;

8) Surname discrimination,

9) Discrimination against Hepatitis B virus carriers.

Indicator 2.1.7 Workers* are able to join labour organizations and obey to the rules of the

labour organization concerned.

Indicator 2.1.8 The organization ensures the following:

1) Not to interfere with workers to establish their organization;

2) Workers, workers' representatives and their organizations can conduct negotiations;

3) To recognize agreements and to keep the corresponding records.

Indicator 2.1.9 Agreements are implemented resulting from collective bargaining with formal

and informal workers organizations*.

Criterion 2.2. The Organization shall promote gender equality in employment practices, train-

ing opportunities, awarding of contracts, processes of engagement and management activi-

ties.

Indicator 2.2.1 Systems are implemented that promote gender equality* and prevent gender

discrimination in employment practices, training opportunities, awarding of contracts, pro-

cesses of engagement* and management activities.

Note: This includes but is not limited to:

1) Employment criteria are not modified to discriminate based on gender.

2) The organization signs a labor (employment) contract or service agreement with all

workers including female workers.

3) The contract or service agreement does not contain restrictions about marriage and

childbearing.

4) All workers including female workers participate in work related meetings and trainings.


19

5) The organization makes efforts to provide employment opportunities to all workers in-

cluding female workers.

6) The opportunities are not only appropriate to employment conditions, but are also com-

patible with the role of women in family and society.

Indicator 2.2.2 The organization protects and promotes a safe and healthy work environment

for all workers including female workers as reflected in Chinese law ('Provisions on the labor

protection of female employees").

Note: Special provisions are provided to female workers during pregnancy, perinatal period,

and breastfeeding period.

Indicator 2.2.3 Work typically carried out by women (silviculture, Non Timber Forest Product

harvesting, weighing, packing, etc.) is included in training and health & safety programs to the

same extent as work typically carried out by men.

Indicator 2.2.4 Women and men are paid the same wage when they do the same work.

Indicator 2.2.5 Women are paid directly and using mutually agreed methods (e.g. direct bank

transfer, direct payments for school fees, etc.) to ensure they safely receive and retain their

wages.

Indicator 2.2.6 Maternity leave complies with “Regulations on the management of population

and family planning” and is no less than a six-week period after childbirth.

Indicator 2.2.7 Paternity leave complies with “Regulations on the management of population

and family planning” and there is no penalty for taking it.

Indicator 2.2.8 Meetings, management committees and decision-making forums are orga-

nized to include women and men, and to facilitate the active participation of both.

Indicator 2.2.9 Confidential and effective mechanisms exist for reporting and eliminating cas-

es of sexual harassment and discrimination based on gender, marital status, parenthood or

sexual orientation.

Criterion 2.3. The Organization shall implement health and safety practices to protect work-

ers from occupational safety and health hazards. These practices shall, proportionate to

scale, intensity and risk of management activities, meet or exceed the recommendations of

the ILO Code of Practice on Safety and Health in Forestry Work.

Indicator 2.3.1 Health and safety practices are developed and implemented that meet or

exceed the ILO Code of Practice on Safety and Health in Forestry Work.

Note: Due to production and management needs, the organization may extend the working

hours after consultation with workers. Extension does not exceed 36 hours per month.


20

Indicator 2.3.2 Workers have personal protective equipment appropriate to their assigned

tasks.

Note 1: In this indicator appropriate means personal protective equipment as listed in Annex

2B.

Note 2: If the employer provides evidence that other equipment not listed in Annex 2B attains

similar protection effects or even better, the organization may use this equipment.

Indicator 2.3.3 Use of personal protective equipment is enforced.

Indicator 2.3.4 Records are kept on Health and Safety practices including accident rates and

lost time to accidents.

Indicator 2.3.5 The frequency and severity of accidents are consistently low compared to

national forest* industry averages.

Note: The organization may utilize the “China forestry statistic annual review” published by

the State Forestry Administration for benchmarking industry averages. In case the organiza-

tion does not want to purchase this review, it may provide other means of verification that

frequency and severity of accidents are low and remain low or are decreasing during duration

of the certificate.

Indicator 2.3.6 The health and safety practices are reviewed and revised as required after

major incidents or accidents.

Note 1: All work related injuries, incidents or accidents are recorded according to Indicator

2.3.4. After major incidents or accidents health and safety practices are reviewed and revised

as required.

Note 2: Lost work days equal to 105 days or more is a major incident or accident as reflected

in the “National accidents classification standard, Annex B”.

Criterion 2.4. The Organization shall pay wages that meet or exceed minimum forest industry

standards or other recognized forest industry wage agreements or living wages, where these

are higher than the legal minimum wages. When none of these exist, The Organization shall

through engagement with workers develop mechanisms for determining living wages.

Indicator 2.4.1 Wages paid by The Organization* in all circumstances meet or exceed legal*

minimum wage rates, where such rates exist.

Note 1: Legal minimum wage does not include payment owed on account of:

1) Overtime;

2) Special allowances paid by reason of a particular work environment or condition (e.g.

shift duties, working in mines, working at high altitudes etc.);


21

3) Statutory employee welfare benefits;

4) Travel-related expenses; or

5) Protective clothing or equipment.

Note 2: These types of payment are additional to the legal minimum wage rate that is usually

calculated on a per month basis.

Indicator 2.4.2 Wages paid meet or exceed:

1) Minimum forest* industry standards; or

2) Other recognized forest* industry wage agreements; or

3) Living wages* that are higher than legal* minimum wages.

Note: The organization may pay legal minimum wage rates where these are equal to mini-

mum forest industry standards. Forest industry standards or collective bargaining agreements

that exist and are higher than legal minimum wage rates are recognized and implemented.

Indicator 2.4.3 Wages, salaries and contracts are paid on time.

Criterion 2.5 The Organization shall demonstrate that workers have job-specific training and

supervision to safely and effectively implement the Management Plan and all management

activities.

Indicator 2.5.1 Workers* have job specific training consistent with Annex 2A and supervision

to safely and effectively contribute to the implementation of the management plan* and all

management activities.

Indicator 2.5.2 Up to date training records are kept for all relevant workers*.

Note for Small Organizations: Small organizations may provide other means of verification

that trainings are provided.

Verifiers: Interviews with workers, interviews with stakeholders

Criterion 2.6 The Organization through engagement with workers shall have mechanisms for

resolving grievances and for providing fair compensation to workers for loss or damage to

property, occupational diseases, or occupational injuries sustained while working for The Or-

ganization.

Indicator 2.6.1 A publicly available* dispute resolution process* is in place; developed

through culturally appropriate* engagement* with workers*.


resolution process in advance. As soon as a dispute arises, a dispute resolution process is

established that is agreed by both parties.


22

Indicator 2.6.2 Workers* grievances are identified and responded to and are either resolved

or are in the dispute* resolution process.

Indicator 2.6.3 Up-to-date records of workers* grievances related to workers* loss or damage

of property, occupational diseases* or injuries are maintained including:

1) Steps taken to resolve grievances;

2) Outcomes of all dispute* resolution processes including fair compensation*; and

3) Unresolved disputes*, the reasons they are not resolved, and how they will be resolved.

Indicator 2.6.4 Fair compensation* is provided to workers* for work-related loss or damage of

property and occupational disease* or injuries.

Note: Both parties agree over the compensation rate. The compensation rate meets or ex-

ceeds national minimum requirements as reflected in Chinese regulation “Injury Management

Regulations”, 2011 and as reflected in Chinese law ”Law of the People's Republic of China on

Prevention and Control of Occupational Diseases”, 2011 .


23

PRINCIPLE 3: INDIGENOUS PEOPLES’ RIGHTS

The Organization shall identify and uphold Indigenous Peoples’ legal and customary rights of

ownership, use and management of land, territories and resources affected by management

activities.

Criterion 3.1. The Organization shall identify the Indigenous Peoples that exist within the

Management Unit or those that are affected by management activities. The Organization shall

then, through engagement with these Indigenous Peoples, identify their rights of tenure, their

rights of access to and use of forest resources and ecosystem services, their customary rights

and legal rights and obligations that apply within the Management Unit. The Organization

shall also identify areas where these rights are contested.

Indicator 3.1.1 Indigenous peoples* that may be affected by management activities are iden-

tified.

Note 1：Indigenous peoples* include those who have affirmed their rights to land, forests*

and other resources based on long established use, and also those who have not yet done so

(due for example, to a lack of awareness or empowerment).

Note 2: In this standard, “indigenous people” refers to:

1) officially recognized or self-identified as group different from the Han; and

2) The earliest settlements and migrating before 1949.

Indicator 3.1.2 Through culturally appropriate* engagement* with the Indigenous Peoples*

identified in 3.1.1, the following issues are documented and/or mapped:

1) Their customary and legal* rights of tenure*;

2) Their customary and legal* access to, and use rights* of the forest* resources and eco-

system services*;

3) Their legal* and customary rights* and obligations that apply;

4) The evidence supporting these rights and obligations;

5) Areas where rights are contested between indigenous peoples*, governments and/or

others.

6) Summary of the means by which the legal* and customary rights*, and contested rights,

are addressed by The Organization*.

7) The aspirations and goals of indigenous peoples* related to management activities.

Note for Small Organizations that practise low intensity forest operations: Small organi-

zations or organizations that practise low intensity forest operations may choose to not pro-

vide documents and/or maps.


24

Criterion 3.2. The Organization shall recognize and uphold the legal and customary rights of

Indigenous Peoples to maintain control over management activities within or related to the

Management Unit to the extent necessary to protect their rights, resources and lands and

territories. Delegation by Indigenous Peoples of control over management activities to third

parties requires Free, Prior and Informed Consent.

Indicator 3.2.1 Through culturally appropriate* engagement* Indigenous Peoples* are in-

formed when, where and how they can comment on and request modification to management

activities to the extent necessary to protect their rights, resources and lands.

Indicator 3.2.2 The legal* and customary rights* of Indigenous Peoples* are not violated by

The Organization*.

Indicator 3.2.3 Where evidence exists that legal* and customary rights* of Indigenous Peo-

ples* related to management activities have been violated the situation is corrected, if neces-

sary, through culturally appropriate* engagement* and/or through the dispute* resolution pro-

cess as required in Criteria* 1.6 or 4.6.

Indicator 3.2.4 Free, prior and informed consent* is granted by indigenous peoples* prior to

management activities that affect their identified rights through a process that includes:

1) Ensuring indigenous peoples* know their rights and obligations regarding the resource;

2) Informing the indigenous peoples* of the value, in economic, social and environmental

terms, of the resource over which they are considering delegation of control;

3) Informing the indigenous peoples* of their right to withhold or modify consent to the pro-

posed management activities to the extent necessary to protect rights, resources and lands;

and

4) Informing the indigenous peoples* of the current and future planned forest* management

activities.

Note: this process includes:

1) Defining the decision making process to be used by the community and the Organiza-

tion;

2) Defining the fair negotiation of consent agreements including fair compensation for the

use of the resource, in a culturally acceptable way for the local communities*, and if

needed with the assistance of neutral advisors;

3) Ensuring any agreement reached is documented and formally acknowledged;

4) Monitoring that the agreement is being upheld by all parties;

5) Periodically re-negotiating the terms of the consent agreement to take into account

changing conditions and grievances; and


25

6） Traditional knowledge and intellectual property* is identified, recognized and documented

if feasible, while respecting the confidentiality of that knowledge and the protection* of intel-

lectual property* rights.

Criterion 3.3. In the event of delegation of control over management activities, a binding

agreement between The Organization and the Indigenous Peoples shall be concluded

through Free, Prior and Informed Consent. The agreement shall define its duration, provisions

for renegotiation, renewal, termination, economic conditions and other terms and conditions.

The agreement shall make provision for monitoring by Indigenous Peoples of The Organiza-

tion’s compliance with its terms and conditions.

Indicator 3.3.1 Where control over management activities has been granted through Free

Prior and Informed Consent* based on culturally appropriate* engagement*, the binding

agreement* contains the duration, provisions for renegotiation, renewal, termination, econom-

ic conditions and other terms and conditions.

Note: Binding agreements are not limited to written agreements. They may be based on oral

and honour systems, to be applied in cases where written agreements are not favoured by

Indigenous Peoples*, either for practical reasons or in principle.

Indicator 3.3.2 Records of binding agreements are maintained.

Indicator 3.3.3 The binding agreement* contains the provision for monitoring* by indigenous

peoples* of The Organization*’s compliance with its terms and conditions.

Criterion 3.4 The Organization shall recognize and uphold the rights, customs and culture of

Indigenous Peoples as defined in the United Nations Declaration on the Rights of Indigenous

Peoples (2007) and ILO Convention 169 (1989).

Indicator 3.4.1 The rights, customs and culture of indigenous peoples* as defined in UNDRIP

and ILO Convention 169 are not violated by The Organization*.

Indicator 3.4.2 Where evidence that rights, customs and culture of indigenous peoples* as

defined in UNDRIP and ILO Convention 169, have been violated by the Organization the situ-

ation is documented including steps to restore* these rights, customs and culture of indige-

nous peoples*, to the satisfaction of the rights holders.

Criterion 3.5. The Organization, through engagement with Indigenous Peoples, shall identify

sites which are of special cultural, ecological, economic, religious or spiritual significance and

for which these Indigenous Peoples hold legal or customary rights. These sites shall be rec-

ognized by The Organization and their management, and/or protection shall be agreed

through engagement with these Indigenous Peoples.

Indicator 3.5.1 Sites of special cultural, ecological, economic, religious or spiritual signifi-


26

cance for which indigenous peoples* hold legal* or customary rights* and measures to

protect them are identified through culturally appropriate engagement*.

Indicator 3.5.2 Measures to protect such sites are agreed, documented and implemented

through culturally appropriate* engagement* with indigenous peoples*. When indigenous

peoples* determine that physical identification of sites in documentation or on maps would

threaten the value or protection* of the sites, then other means will be used.

Indicator 3.5.3 Wherever sites of special cultural, ecological, economic, religious or spiritual

significance are newly observed or discovered, management activities cease immediately in

the vicinity until protective measures have been agreed to with the indigenous peoples*, and

as directed by local and national laws*.

Criterion 3.6. The Organization shall uphold the right of Indigenous Peoples to protect and

utilize their traditional knowledge and shall compensate local communities for the utilization of

such knowledge and their intellectual property. A binding agreement as per Criterion 3.3 shall

be concluded between The Organization and the Indigenous Peoples for such utilization

through Free, Prior and Informed Consent before utilization takes place, and shall be con-

sistent with the protection of intellectual property rights.

Indicator 3.6.1 Traditional knowledge* and intellectual property* are protected and are only

used when the acknowledged owners of that traditional knowledge* and intellectual property*

have provided their Free, Prior and Informed Consent* formalized through a binding agree-

ment*.

Indicator 3.6.2 Indigenous peoples* are compensated according to the binding agreement*

reached through Free, Prior and Informed Consent* for the use of traditional knowledge* and

intellectual property*.


27

PRINCIPLE 4: COMMUNITY RELATIONS

The Organization shall contribute to maintaining or enhancing the social and economic well-

being of local communities.

Criterion 4.1. The Organization shall identify the local communities that exist within the Man-

agement Unit and those that are affected by management activities. The Organization shall

then, through engagement with these local communities, identify their rights of tenure, their

rights of access to and use of forest resources and ecosystem services, their customary rights

and legal rights and obligations that apply within the Management Unit.

Indicator 4.1.1 Local communities* that exist in the Management Unit* and those that may be

affected by management activities are identified and claims related to the management unit

are recorded.

Note 1：Local communities are those with a fair and legitimate claim to be allowed access to

benefits, goods or ecosystem services* from the Management Unit*. This includes communi-

ties that have affirmed their rights to land, forests* and other resources based on long estab-

lished use, as well as those that have not yet done so (due for example, to a lack of aware-

ness or empowerment).

Note 2: Local communities* affected by management activities include those neighboring the

Management Unit*, and those that are more distant that may experience negative impacts as

a result of activities within the Management Unit*. These communities are affected

stakeholders* according to Criterion* 7.6.

Indicator 4.1.2 Through culturally appropriate* engagement* with the local communities*,

identified in 4.1.1 the following are documented and/or mapped:

1) Their legal* and customary rights* of tenure*;

2) Their legal* and customary* access to, and use rights*, of the forest* resources and eco-

system services*;

3) Their legal* and customary* rights* and obligations that apply;

4) The evidence supporting these rights and obligations;

5) Areas where rights are contested between local communities *, governments and/or

others.

6) Summary of the means by which how the legal* and customary rights*, and contested

rights are addressed by The Organization*; and

7) The aspirations and goals of local communities* related to management activities.

Note for Small Organizations or organizations that practice low intensity forest opera-

tions: Small organizations or organizations that practice low intensity forest operations may


28

choose to not provide documents and/or maps.

Criterion 4.2. The Organization shall recognize and uphold the legal and customary rights of

local communities to maintain control over management activities within or related to the

Management Unit to the extent necessary to protect their rights, resources, lands and territo-

ries. Delegation by local communities of control over management activities to third parties

requires Free, Prior and Informed Consent.

Indicator 4.2.1 Through culturally appropriate* engagement* local communities* are informed

of when, where and how they can comment on and request modification to management ac-

tivities to the extent necessary to protect their rights.

Indicator 4.2.2 The legal* and customary rights* of local communities* to maintain control

over management activities are not violated by The Organization*.

Indicator 4.2.3 Where evidence exists that legal* and customary rights* of local communities*

related to management activities have been violated the situation is corrected, if necessary,

through culturally appropriate* engagement* and/or through the dispute resolution process* in

Criteria* 1.6 or 4.6

Indicator 4.2.4 Free, prior and informed consent* is granted by local communities* prior to

management activities that affect their identified rights through a process that includes:

1) Ensuring local communities* know their rights and obligations regarding the resource;

2) Informing the local communities* of the value, in economic, social and environmental

terms, of the resource over which they are considering delegation of control;

3) Informing the local communities* of their right to withhold consent to the proposed man-

agement activities to the extent necessary to protect rights and resources; and

4) Informing the local communities* of the current and future planned forest* management

activities.

Note: this process includes:

1) Defining the decision making process to be used by the community and the Organiza-

tion;

2) Defining the fair negotiation of consent agreements including fair compensation for the

use of the resource, in a culturally acceptable way for the local communities*, and if

needed with the assistance of neutral advisors;

3) Ensuring any agreement reached is documented and formally acknowledged;

4) Monitoring that the agreement is being upheld by all parties;

5) Periodically re-negotiating the terms of the consent agreement to take into account

changing conditions and grievances; and

6) Traditional knowledge and intellectual property* is identified, recognized and document-


29

ed if feasible, while respecting the confidentiality of that knowledge and the protection* of

intellectual property* rights.

Criterion 4.3. The Organization shall provide reasonable opportunities for employment, train-

ing and other services to local communities, contractors and suppliers proportionate to scale

and intensity of its management activities.

Indicator 4.3.1 Reasonable* opportunities are communicated and provided to local communi-

ties*, local contractors and local suppliers for:

1) Employment,

2) Training, and

3) Other services

Criterion 4.4.The Organization shall implement additional activities, through engagement with

local communities that contribute to their social and economic development, proportionate to

the scale, intensity and socio-economic impact of its management activities.

Indicator 4.4.1 Opportunities for local social and economic development are identified

through culturally appropriate * engagement* with local communities* and other relevant or-

ganizations.

Note for Small Organizations: Small organizations engage in community services as to

meet this indicator.

Indicator 4.4.2 Projects and additional activities are implemented and / or supported that

contribute to local social and economic benefit and are proportionate to the socio-economic

impact of management activities.

Note: Projects and additional activities include the following aspects:

1) Requested by free and collective decisions of the local communities*;

2) Priorities for the communities;

3) Sustainable in the long term;

4) Beneficial to the local communities* as a whole;

5) Relevant to the poverty status of the local communities*;

6) Distributed equitably within the local communities*

Note for Small Organizations: Small organizations engage in community services as to

meet this indicator.

Criterion 4.5. The Organization, through engagement with local communities, shall take ac-

tion to identify, avoid and mitigate significant negative social, environmental and economic


30

impacts of its management activities on affected communities. The action taken shall be pro-

portionate to the scale, intensity and risk of those activities and negative impacts.

Indicator 4.5.1 Through culturally appropriate* engagement* with local communities*,

measures are implemented to identify avoid and mitigate significant* negative social, envi-

ronmental and economic impacts of management activities.

Note for Small Organizations: Small organizations may implement measures according to

FSC technical materials for small, low intensity and community forests:

1) Briefing Note 2: Assessment of Environmental Impacts;

2) Briefing Note 3 "Evaluating and Monitoring Social Impacts".

See Annex 11 for details.

Criterion 4.6. The Organization, through engagement with local communities, shall have

mechanisms for resolving grievances and providing fair compensation to local communities

and individuals with regard to the impacts of management activities of The Organization.

Indicator 4.6.1 A publically available dispute resolution process is in place, developed

through engagement* with local communities*.


resolution process in advance. As soon as a dispute arises, a dispute resolution process is

established that is agreed by both parties.

Indicator 4.6.2 Grievances related to the impacts of management activities are responded to

in a timely manner*, and are either resolved or are in the dispute resolution process*.

Indicator 4.6.3 An up to date record of grievances related to the impacts of management

activities is held including:

1) Steps taken to resolve grievances；

2) Outcomes of all disputes resolution processes including fair compensation to local com-

munities and individuals; and

3) Unresolved disputes and the reasons why they are not resolved and how they will be

resolved.

Indicator 4.6.4 Operations cease in areas where disputes exist:

1) Of large scale *(equal or greater than 500 ha or 10% or more of the forest management

unit, whichever is smaller); or

2) Of substantial duration*(6 months or more); or

3) Involving a significant* number of interests (5 families or more); or

4) Of substantial magnitude * (see definition in glossary of terms).


31

Criterion 4.7 The Organization, through engagement with local communities, shall identify

sites which are of special cultural, ecological, economic, religious or spiritual significance, and

for which these local communities hold legal or customary rights. These sites shall be recog-

nized by The Organization, and their management and/or protection shall be agreed through

engagement with these local communities.

Indicator 4.7.1 Sites of special cultural, ecological, economic, religious or spiritual signifi-

cance, for which local communities* hold legal* or customary rights* and measures to protect

them are identified through culturally appropriate engagement* and are recognized by The

Organization*.

Indicator 4.7.2 Measures to protect such sites are agreed, documented and implemented

through culturally appropriate engagement* with local communities*. When local communi-

ties* determine that physical identification of sites in documentation or on maps would threat-

en the value or protection* of the sites, then other means will be used.

Indicator 4.7.3 Whenever sites of special cultural, ecological, economic, religious or spiritual

significance are newly observed or discovered, management activities cease immediately in

the vicinity until protective measures have been agreed to with the local communities*, and as

directed by local and national laws*.

Criterion 4.8 The Organization shall uphold the right of local communities to protect and uti-

lize their traditional knowledge and shall compensate local communities for the utilization of

such knowledge and their intellectual property. A binding agreement as per Criterion 3.3 shall

be concluded between The Organization and the local communities for such utilization

through Free, Prior and Informed Consent before utilization takes place, and shall be con-

sistent with the protection of intellectual property rights.

Indicator 4.8.1 Traditional knowledge and intellectual property is protected and is only used

when the owners of that traditional knowledge* and intellectual property* have provided their

Free, Prior and Informed Consent* formalized through a binding agreement*.

Indicator 4.8.2 Local communities* are compensated according to the binding agreement*

reached through Free, Prior and Informed Consent* for the use of traditional knowledge* and

intellectual property*.


32

PRINCIPLE 5: BENEFITS FROM THE FOREST

The Organization shall efficiently manage the range of multiple products and services of the

Management Unit to maintain or enhance long-term economic viability and the range of social

and environmental benefits.

Criterion 5.1. The Organization shall identify, produce, or enable the production of, diversified

benefits and/or products, based on the range of resources and ecosystem services existing in

the Management Unit in order to strengthen and diversify the local economy proportionate to

the scale and intensity of management activities.

Indicator 5.1.1 The range of resources and ecosystem services* that could strengthen and

diversify the local economy are identified.

Indicator 5.1.2 Consistent with management objectives*, the identified benefits and products

are produced by the Organization* and/or made available for others to produce, to strengthen

and diversify the local economy.

Note: The Organization* is not required to engage in the commercial use of products and

benefits of the Management Unit* if such use would have negative impacts on the primary

objectives* of conservation or protection. This includes but is not limited to:

1) Activities that lead to NTFP over-exploitation

2) Activities that may have a serious negative impact on the environment;

3) Activities that may have a serious negative impact on local communities.

Note for Small Organizations: Small organizations are exempt.

Indicator 5.1.3 When The Organization* makes FSC promotional claims regarding the

maintenance and/or enhancement of ecosystem services*, Annex 5 is followed regarding

additional requirements.

Criterion 5.2. The Organization shall normally harvest products and services from the Man-

agement Unit at or below a level which can be permanently sustained.

Indicator 5.2.1 Timber harvesting levels* are based on an analysis of current Best Available

Information* on growth and yield; inventory of the forest*; mortality rates; and maintenance of

ecosystem functions*.

Indicator 5.2.2 Based on the harvesting levels analysis, a maximum allowable annual cut for

timber is determined that does not exceed the harvest level that can be permanently sus-

tained including by ensuring that harvest rates do not exceed growth.


33

Indicator 5.2.3 The organization ensures that the rate of harvest for large, regionally dis-

persed FMUs does not allow concentrating the annual harvest in one sub-unit.

Indicator 5.2.4 The organization ensures that the rate of harvest for large, regionally dis-

persed FMUs does not allow concentrating on any one species in a way that compromises

the Organization’s ability to meet all other aspects of the standard.

Indicator 5.2.5 Actual annual harvest level for timber products or commercial service are

recorded and the harvest over a defined period does not exceed the allowable cut determined

in 5.2.2 for the same defined period.

Note: In a defined management period (5 or 10 years), special circumstances in a given year

may allow for the harvest rate to exceed the annual growth rate, providing that all other re-

quirements of this standard are met and that the following conditions are met:

1) The organization provides a clear rationale;

2) The organization develops a harvesting plan for the management period (5 or 10 years)

which ensures that the average harvest rate does not exceed annual growth rate;

3) The harvest rate does not exceed annual growth rate in two consecutive years.

Indicator 5.2.6 For extraction of commercially harvested services and non-timber forest

products* under The Organization’s* control a sustainable harvest level is calculated and

adhered to. Sustainable harvest levels are based on Best Available Information*.

Indicator 5.2.7 The organization identifies the types of NTFP, and analyzes optimal control

measures. Calculation of sustainable harvest level is based on best available information,

production data and on and off year of the NTFP.

Note: The organization shall note that controlling and managing hunting, fishing and collect-

ing are addressed in Criterion* 6.6.

Criterion 5.3. The Organization shall demonstrate that the positive and negative externalities

of operations are included in the management plan.

Indicator 5.3.1 Costs related to preventing, mitigating or compensating for negative social

and environment impacts of management activities are quantified and documented in the

management plan*.

Note for Small Organizations: Small organizations may choose to not record related cost.

Indicator 5.3.2 Benefits related to positive social and environment impacts of management

activities are identified and included in the management plan*.

Criterion 5.4. The Organization shall use local processing, local services, and local value


34

adding to meet the requirements of The Organization where these are available, proportion-

ate to scale, intensity and risk. If these are not locally available, The Organization shall make

reasonable attempts to help establish these services.

Indicator 5.4.1 Where cost, quality and capacity of non-local and local options are at least

equivalent, local goods, services, processing and value-added facilities are used.

Note: "local" has different meanings in this indicator depending on the size of the organiza-

tion.

1) For large scale organizations, local covers the range within the province including the

provincial capital.

2) For small scale organizations “local” covers the range within the county.

3) For medium sized organizations, "local" covers the range within the county as well as

neighboring counties. Prefecture -level cities are included for every county.

Indicator 5.4.2 Reasonable* attempts are made to establish and encourage capacity where

local goods, services, processing and value-added facilities are not available.

Note for Small Organizations: Small organizations are exempt.

Criterion 5.5. The Organization shall demonstrate through its planning and expenditures

proportionate to scale, intensity and risk, its commitment to long-term economic viability.

Indicator 5.5.1 Sufficient funds are allocated to implement the Management Plan* in order to

meet this standard and to ensure long-term economic viability*.

Indicator 5.5.2 Expenditures and investments are made to implement the Management Plan*

in order to meet this standard and to ensure long-term economic viability*.

Note for Small Organizations: Expenditures and investments may be documented by other

means than accounting or balance sheets. This may include sales invoices and transfer or

cash receipts.


35

PRINCIPLE 6: ENVIRONMENTAL VALUES* AND IMPACTS

The Organization shall maintain, conserve and/or restore ecosystem services and environ-

mental values of the Management Unit, and shall avoid, repair or mitigate negative environ-

mental impacts.

Criterion 6.1. The Organization shall assess environmental values in the Management Unit

and those values outside the Management Unit potentially affected by management activities.

This assessment shall be undertaken with a level of detail, scale and frequency that is propor-

tionate to the scale, intensity and risk of management activities, and is sufficient for the pur-

pose of deciding the necessary conservation measures, and for detecting and monitoring

possible negative impacts of those activities.

Indicator 6.1.1 Best Available Information is used to assess environmental values* within,

and, where potentially affected by management activities, outside of the Management Unit*.

Note: Best Available Information* includes:

1) Representative Sample Areas* showing environmental values* in their natural state.

2) Field surveys;

3) Databases relevant to the environmental values*, for example, local forestry archive and

natural reservation strategic information of municipal or above level;

4) Consultation with local and regional experts;

5) Culturally appropriate* engagement* with indigenous peoples*, local communities* and

affected stakeholder* and interested stakeholder*

Note for Small Organizations: For group certification schemes this requirement applies at

the level of the group entity. Small scale members are exempt from assessment require-

ments.

Indicator 6.1.2 Environmental values are assessed at stand level and at landscape level.

Note 1: Assessment at stand level includes the following attributes:

1) Plant species diversity;

2) Provenance and mother tree;

3) Stand density including standing trees, snags and fallen logs (mainly for natural forests);

4) Canopy density;

5) Existence of invasive species.

Note 2: Assessment at landscape level includes the following attributes:

1) Successional stages of forest communities;

2) Rare ecological communities;

3) Animal species and their habitats;


36

4) Watersheds and riparian areas.

Note for Small Organizations: For group certification schemes this requirement applies at

the level of the group entity. Small scale members are exempt from assessment require-

ments.

Indicator 6.1.3 Assessments of environmental values* are conducted with a level of detail

and within a period of 5 years, so that:

1) Impacts of management activities on the identified environmental values* can be as-

sessed as per Criterion* 6.2;

2) Risks* to environmental values* can be identified as per Criterion* 6.2;

3) Necessary conservation* measures to protect values can be identified as per Criterion*

6.3; and,

4) Monitoring of impacts or environmental changes can be conducted as per Principle* 8.

Note for Small Organizations: Small organizations that do not apply high intensity man-

agement activities may decrease assessment frequency to 10 years.

Indicator 6.1.4 Organizations that apply high intensity management activities, use quantita-

tive methods to assess environmental values. The applied methods are based on scientific

sampling designs and statistical analysis.

Note: The organization provides a clear rationale, if a quantitative method cannot be applied.

Criterion 6.2. Prior to the start of site-disturbing activities, The Organization shall identify and

assess the scale, intensity and risk of potential impacts of management activities on the iden-

tified environmental values.

Indicator 6.2.1 An environmental impact assessment* identifies potential present and future

impacts of management activities on environmental values*.

Note: Organizations that apply high intensity management activities use quantitative methods

to assess environmental impacts and illustrate scientific basis of utilized methods.

Note for Small Organizations: Small organizations that do not apply high intensity man-

agement activities may implement measures according to FSC technical materials for small,

low intensity and community forests:

1) Briefing Note 2: Assessment of Environmental Impacts


Indicator 6.2.2 The environmental impact assessment* identifies and assesses the impacts

of the management activities prior to the start of site-disturbing activities.


37

Criterion 6.3. The Organization shall identify and implement effective actions to prevent neg-

ative impacts of management activities on the environmental values, and to mitigate and re-

pair those that occur, proportionate to the scale, intensity and risk of these impacts.

Indicator 6.3.1 Management activities are planned and implemented to prevent negative

impacts and to protect environmental values*.

Indicator 6.3.2 Management activities prevent or mitigate negative impacts to environmental

values*.

Indicator 6.3.3 Where negative impacts to environmental values* occur, measures are

adopted to prevent further damage, and negative impacts are mitigated* and/or repaired*.

Criterion 6.4. The Organization shall protect rare species and threatened species and their

habitats in the Management Unit through conservation zones, protection areas, connectivity

and/or (where necessary) other direct measures for their survival and viability. These

measures shall be proportionate to the scale, intensity and risk of management activities and

to the conservation status and ecological requirements of the rare and threatened species.

The Organization shall take into account the geographic range and ecological requirements of

rare and threatened species beyond the boundary of the Management Unit, when determin-

ing the measures to be taken inside the Management Unit.

Indicator 6.4.1 Best Available Information is used to identify rare and threatened species*

and their habitats*, including CITES species (where applicable), and critically endangered

(CR) and endangered (EN) species listed on the China biodiversity Red List.

Note 1: Best Available Information* includes:

1) CITES list and China Biodiversity Red List. and, if applicable,

2) Field surveys;





affected stakeholder* and interested stakeholder*.

Note 2: See Annex 6 China Biodiversity Red List.

Indicator 6.4.2 Potential impacts of management activities on rare and threatened species*

and their conservation* status and habitats* are identified and management activities are

modified to avoid negative impacts.

Indicator 6.4.3 The rare and threatened species* and their habitats* are protected, including


38

through the provision of conservation zones*, protection areas*, connectivity*, and other di-

rect means for their survival and viability, such as the species’ recovery programs.

Indicator 6.4.4 Hunting, fishing, trapping and collection of rare or threatened species*is pre-

vented.

Note: The organization implements the following measures:

1) Establishes written rules to prohibit workers, local communities and others from hunting,

fishing, trapping, collecting and selling rare or endangered species *. The rules are

based on applicable legislation.

2) Establishes education and patrolling programs for the protection of rare and threatened

species.

3) Cooperates with local forestry administration and reports incidences of hunting, fishing,

trapping or gathering of rare or threatened species. In case the organization has legal

authority, it may take legal action based on applicable legislation.

4) Maintains records about incidences of hunting fishing, trapping or gathering of rare or

threatened species.

5) Increases education and patrolling efforts or establishes other relevant measures when

incidences of hunting, fishing, trapping or gathering of rare or threatened species * in-

crease.

Note for Small Organizations: Small organizations may choose to not implement measures

1 - 5, but ensure that:

1) There is no fishing, trapping or collection of rare or threatened species with their direct

involvement;

2) Communicate with the people in their surroundings not to fish, trap or collect rare or

threatened species.

Criterion 6.5 The Organization shall identify and protect representative sample areas of na-

tive ecosystems and/or restore them to more natural conditions. Where representative sam-

ple areas do not exist or are insufficient, The Organization shall restore a proportion of the

Management Unit to more natural conditions. The size of the areas and the measures taken

for their protection or restoration, including within plantations, shall be proportionate to the

conservation status and value of the ecosystems at the landscape level, and the scale, inten-

sity and risk of management activities.

NOTE:

1) Representative sample areas representing the native ecosystem in local context, and

thus serve as a reference for ecosystem that exists or could be present in the manage-

ment unit, for the purpose of 6.1.1.


39

2) Informing forest* management, including regeneration, within the Management Unit* in

order to maintain or enhance environmental values*.

3) Forming part of the Conservation Areas Network* within the Management Unit*. In order

to protect and conserve environmental values*, it may be necessary to designate and re-

store* Representative Sample Areas* within the Management Unit*.Protection Areas*,

Conservation zones*, Representative Sample Areas* and High Conservation Value Are-

as*, may overlap spatially where they meet the same criteria to form the Conservation Ar-

ea Network*.

Indicator 6.5.1 Best Available Information* is used to identify native ecosystems* that exist,

or would exist under natural conditions* within the Management Unit *.

Note: Best Available Information includes:

1) Field surveys;





affected stakeholder* and interested stakeholder*.

Indicator 6.5.2 Representative sample areas* of native ecosystems* are protected, where

they exist.

Indicator 6.5.3 Where Representative Sample Areas* do not exist, or where existing areas

inadequately represent native ecosystem*, or are otherwise insufficient, a proportion of the

Management Unit* is restored* to more natural conditions*.

Note: if there are insufficient or no representative samples areas within the MU, and under

the following conditions, the organization could set-aside requirements outside the Manage-

ment Unit (MU), the conditions as below:

• The MU is smaller than 50 ha;

• The Organization shall identify rare and threatened species and their habitats in the MU.

When they exist although are insufficient in size, measures for their survival and viability shall

be identified and put in place.

• The outside area is in the same forest landscape. For auditing purposes landscape is de-

fined as the quaternary water catchment area.

• Sites to be conserved outside of the MU are representative samples of existing ecosys-

tems.

• The outside area is not commercially harvested and is under a legal protection status, OR


40

there is a binding contract between the Organization and the owner of the outside area to:

o Protect the area in its natural stage;

o Mark the boundaries of the area in the field and on maps;

o Allow certification bodies to access area for inspection.

Financial assistance alone does not constitute compliance with the requirements of crite-rion 6.5.5. Some conservation efforts have to be demonstrated within the MU. Other ex-amples of conservation efforts may be presented to PSU for evaluation on a case by case basis.

Indicator 6.5.4 The size of the Representative Sample Areas* and/or restoration* areas is

proportionate to the conservation* status and value of the ecosystems* at the landscape*

level, the size of the Management Unit* and the intensity* of forest* management.

Note:

1) Every Representative Sample Area is 1ha or more.

2) The organization considers the ecosystem value at landscape level, considers estab-

lishment of wildlife corridors between Representative Sample Areas, and avoids occur-

ring fragmentation.

Indicator 6.5.5 Representative Sample Areas* in combination with other components of the

conservation areas network* comprise a minimum 10% area of the Management Unit*.

Note: Conservation Areas Network is those portions of the Management Unit* for which con-

servation is the primary and, in some circumstances, exclusive objective; such areas include

representative sample areas*, conservation zones*, protection areas*, connectivity* areas

and High Conservation Value Areas*.

Criterion 6.6. The Organization shall effectively maintain the continued existence of naturally

occurring native species and genotypes, and prevent losses of biological diversity, especially

through habitat management in the Management Unit. The Organization shall demonstrate

that effective measures are in place to manage and control hunting, fishing, trapping and

collecting.

Indicator 6.6.1 Management activities maintain the plant communities and habitat features*

found within native ecosystems* in which the Management Unit* is located.

Indicator 6.6.2 Where past management has eliminated plant communities or habitat fea-

tures*, management activities aimed at re-establishing such habitats* are implemented.

Note 1: For natural forest, the organization applies artificial regeneration methods or manual-

ly accelerates natural regeneration. This may include: Supplemental seeding, replanting, par-


41

tial soil preparation, cutting, irrigation or mowing.

Note 2: For plantations, the organization applies regeneration measures along waterbodies,

roads and/or establishes other relevant buffer zones.

Indicator 6.6.3 Management activities maintain, enhance, or restore* habitat features* asso-

ciated with native ecosystems*, to support the diversity of naturally occurring species and

their genetic diversity.

Note: This includes the following measures:

1) Timber harvest and silvicultural methods maintain and restore* natural forest* diversity,

composition, and structure;

2) Thresholds and guidelines for retention of trees throughout harvest areas as individual

trees or in patches or groups of live trees and snags, including trees representative of

the naturally dominant species for the site;

3) Thresholds and guidelines for retention of woody debris, and other vegetation repre-

sentative of the natural stand;

4) Thresholds and guidelines for establishment and management of the rotation and har-

vesting area, in order to maintain the diversity of forest age, keep the nature state of

forest stand, avoid the fragmentation occurring and accumulative impact to catchment.

5) Configuration of harvesting to ensure connectivity*.

Indicator 6.6.4 The organization maintains or restores complexity of forest communities.

Note: Complexity refers to the following attributes:

1) Old-growth or mature commercial and non-commercial trees;

2) Trees with special ecological value;

3) Vertical and horizontal stand structure;

4) Forest canopy.

Indicator 6.6.5 The organization retains following special habitats:

1) Standing dead trees and fallen trees;

2) Small wetlands, bogs, fens;

3) Small non-forest* open areas;

4) Animal hibernation sites.

Indicator 6.6.6 Effective measures are taken to manage and control hunting, fishing, trapping

and collecting activities to ensure that naturally occurring native species*, their diversity within

species and their natural distribution are maintained.

Indicator 6.6.7 The organization shall identify the species for which hunting, fishing, trapping


42

and collecting are allowed, and the species for which these are forbidden, according to relat-

ed national laws and international conventions.

Indicator 6.6.8 If the organization is allowed to hunt, fish, trap and collect, the organization

demonstrates that a written procedure is developed and implemented according to applicable

laws.

Indicator 6.6.9 The organization possesses, manufactures, sells, transports, rents, lends and

uses firearms in line with the „People’s Republic of China Firearms Law" (1996).

Indicator 6.6.10 The organization develops and implements written procedures to prohibit

and punish using company’s vehicle to transport, trade and use of protected wildlife and fire-

arms.

Indicator 6.6.11 The organization establishes effective mechanisms to prohibit workers * to

hunt, trap or capture wild animals or wild fish.

Criterion 6.7. The Organization shall protect or restore natural watercourses, water bodies,

riparian zones and their connectivity. The Organization shall avoid negative impacts on water

quality and quantity and mitigate and remedy those that occur.

Indicator 6.7.1 Protection* measures are implemented to protect natural watercourses*, wa-

ter bodies*, riparian zones* and their connectivity*, including water quantity and water quality.

Note 1: This includes that the organization marks watercourses and water bodies in their

harvesting design maps, except for watercourses with a stream bed width less than 2 meters.

Note 2: Stream bed width is the distance between vegetation zones on both sides of the riv-

er.

Note 3: The requirements of Indicator 6.7.1 are based on the Code of Forest Harvesting

(LY/T 1646-2005), Page 19, item 7.2.

Indicator 6.7.2 The organization sets up buffer zones along watercourses and water bodies.

Note 1:

1) If stream bed width is greater than 50 meters, unilateral minimum width of the buffer

zone is 30 meters or more;

2) If stream bed width is between 20 and 50 meters, unilateral minimum width of the buffer


3) If stream bed width is between 10 and 20 meters, unilateral minimum width of the buffer


4) If stream bed width is shorter than 10 meters, unilateral minimum width of the buffer


43

zone is 8 meters or more.

Note 2: If species, habitats or ecosystems exist that require protection, the organization en-

hances the width of buffer zones accordingly.

Note 3: Stream bed width is the distance between vegetation zones on both sides of the riv-

er.

Note 4: The requirements of Indicator 6.7.2 are based on the Code of Forest Harvesting

(LY/T 1646-2005), Page 19, item 7.2.1.

Indicator 6.7.3 The organization manages buffer zones for protection purposes.

Note 1: This involves the following management activities:

1) Protection of natural vegetation;

2) No tree cutting without a license;

3) Prevent construction or other machinery to enter buffer zones, except for construction of

bridges and/or culverts;

4) Implement environmental impact assessments and mitigation measures prior to con-

struction of bridges and/or culverts;

5) No dumping of logging residues, other debris and rubbish;

6) No use of pesticides and fertilizers in buffer zones.

Note 2: The organization does not plant trees in nature river courses.

Indicator 6.7.4 Where implemented protection* measures do not protect watercourses*, wa-

ter bodies*, riparian zones* and their connectivity, water quantity and water quality from im-

pacts of forest* management, restoration activities are implemented.

Indicator 6.7.5 Where natural watercourses, water bodies*, riparian zones* and their connec-

tivity, or water quantity and water quality have been damaged by past activities on land and

water by The Organization*, restoration activities* are implemented.

Indicator 6.7.6 Where continued degradation exists to watercourses*, water bodies*, water

quantity and water quality caused by previous managers and the activities of third parties,

measures are implemented that prevent or mitigate this degradation.

Criterion 6.8. The Organization shall manage the landscape in the Management Unit to

maintain and/or restore a varying mosaic of species, sizes, ages, spatial scales and regen-

eration cycles appropriate for the landscape values in that region, and for enhancing envi-

ronmental and economic resilience.

Indicator 6.8.1 A varying mosaic of species, sizes, ages, spatial scales*, and regeneration

cycles is maintained appropriate to the landscape*.


44

Note 1: Landscape features include those shaped by natural processes and and/or modified

by human activities.

Note 2: Appropriate to the landscape means that management aims at maintaining the conti-

nuity of natural characteristics of the FMU and the surrounding area, and maintaining the

traditional culture and activities which contribute to such continuity.

Indicator 6.8.2 The mosaic of species, sizes, ages, spatial scales*, and regeneration cycles

is restored* where it has not been maintained appropriate to the landscape*.

Criterion 6.9. The Organization shall not convert natural forest to plantations, nor natural

forests or plantations on sites directly converted from natural forest to non-forest land use,

except when the conversion:

a) Affects a very limited portion of the area of the Management Unit, and

b) Will produce clear, substantial, additional, secure long-term conservation benefits in the

Management Unit, and

c) Does not damage or threaten High Conservation Values, nor any sites or resources

necessary to maintain or enhance those High Conservation Values.

Indicator 6.9.1 There is no conversion of natural forest* to plantations*, nor conversion of

natural forests* to non-forest* land use, nor conversion of plantations* on sites directly con-

verted from natural forest* to non-forest* land use, except when the conversion::

1) Affects no more than 0.5% of the area of the Management Unit* in any one year, nor or

a total of more than 5% of the area of the Management Unit* , and

2) The conversion will produce clear, substantial, additional, secure, long-term conserva-

tion* benefits in the Management Unit*; and

3) Does not damage or threaten High Conservation Values*, nor any sites or resources

necessary to maintain or enhance those High Conservation Values*.

Note 1: In the case conversion is not driven by the organization and is not done for plantation

development, forest areas may be excised from the scope of certification.

Note 2: The organization informs the responsible authorities prior to the event including an

evaluation of environmental and social impacts.

Note 3: The organization informs the Certification Body and FSC prior to the actual conver-

sion including information about size, usage, high conservation values of the forest area. This

information is made publicly available.

Note 4: Forests that originate from plantations are defined as natural forest for the purposes

of FSC certification, if they have below characteristics:

1) High intensity management activities are not applied;


45

2) Dominant species are native species;

3) Are uneven-aged or multi-storied.

Uneven-aged forests are forests that feature an age class of more than 1 according to the

“Technical specification for forest resources planning and design (GB/T26424-2010)”.

Multi-storied forests are forests that are composed of two or more distinct tree or canopy lay-

ers.

Criterion 6.10. Management Units containing plantations that were established on areas

converted from natural forest after November 1994 shall not qualify for certification, except

where:

a) Clear and sufficient evidence is provided that The Organization was not directly or indi-

rectly responsible for the conversion, or

b) The conversion affected a very limited portion of the area of the Management Unit and

is producing clear, substantial, additional, secure long-term conservation benefits in the

Management Unit.

Indicator 6.10.1 Based on Best Available Information*, accurate data is compiled on all con-

versions since 1994.

Indicator 6.10.2 Areas converted from natural forest* to plantation* since November 1994 are

not certified, except where:

1) The Organization* provides clear and sufficient evidence that it was not directly or indi-

rectly responsible for the conversion; or

2) The conversion is producing clear, substantial, additional, secure, long-term conserva-

tion* benefits in the Management Unit*; and

3) The total area of plantation* on sites converted from natural forest* since November

1994 is less than 5% of the total area of the Management Unit*.

Note: Please refer to Note 4 of 6.9.1 for a definition of natural forest that originated from plan-

tations.


46

PRINCIPLE 7: MANAGEMENT PLANNING

The Organization shall have a management plan consistent with its policies and objectives

and proportionate to scale, intensity and risks of its management activities. The management

plan shall be implemented and kept up to date based on monitoring information in order to

promote adaptive management. The associated planning and procedural documentation shall

be sufficient to guide staff, inform affected stakeholders and interested stakeholders and to

justify management decisions.

Criterion 7.1. The Organization shall, proportionate to scale, intensity and risk of its man-

agement activities, set policies (visions and values) and objectives for management, which

are environmentally sound, socially beneficial and economically viable. Summaries of these

policies and objectives shall be incorporated into the management plan, and publicized.

Indicator 7.1.1 Policies (vision and values) that contribute to meeting the requirements of this

standard are defined.

Indicator 7.1.2 Specific, operational management objectives* that address the requirements

of this standard are defined.

Indicator 7.1.3 Summaries of the defined policies and management objectives* are included

in the management plan* and publicized.

Note for small organizations: Small organization may choose to not publicize but communi-

cate the policies and management objectives.

Criterion 7.2. The Organization shall have and implement a management plan for the Man-

agement Unit which is fully consistent with the policies and management objectives as estab-

lished according to Criterion 7.1. The management plan shall describe the natural resources

that exist in the Management Unit and explain how the plan will meet the FSC certification

requirements. The management plan shall cover forest management planning and social

management planning proportionate to scale, intensity and risk of the planned activities.

Indicator 7.2.1 The management plan* includes management actions, procedures, strategies

and measures to achieve the management objectives*.

Indicator 7.2.2 The management plan* addresses the elements listed in Annex 7A, and is

implemented.

Criterion 7.3. The management plan shall include verifiable targets by which progress to-

wards each of the prescribed management objectives can be assessed.

Indicator 7.3.1 Verifiable targets, and the frequency that they are assessed, are established


47

for monitoring the progress towards each management objective*.

Criterion 7.4. The Organization shall update and revise periodically the management plan-

ning and procedural documentation to incorporate the results of monitoring and evaluation,

stakeholder engagement or new scientific and technical information, as well as to respond to

changing environmental, social and economic circumstances.

Indicator 7.4.1 The management plan* is revised and updated periodically to incorporate:

1) Monitoring* results, including results of certification audits;

2) Evaluation results;

3) Stakeholder engagement* results;

4) New scientific and technical information, and

5) Changing environmental, social, or economic circumstances

Note: The template provided in Annex 7B is an example and may be used when adapted to

the specific circumstances of the organization.

Criterion 7.5. The Organization shall make publicly available a summary of the management

plan free of charge. Excluding confidential information, other relevant components of the

management plan shall be made available to affected stakeholders on request, and at cost of

reproduction and handling.

Indicator 7.5.1 A summary of the management plan* in a format comprehensible to stake-

holders including maps and excluding confidential information* is made publicly available* at

no cost.

Note: The organization may choose to provide the entire management plan.

Indicator 7.5.2 Relevant components of the management plan*, excluding confidential infor-

mation*, are available to affected stakeholders* on request at the actual costs of reproduction

and handling.

Criterion 7.6. The Organization shall, proportionate to scale, intensity and risk of manage-

ment activities, proactively and transparently engage affected stakeholders in its manage-

ment planning and monitoring processes, and shall engage interested stakeholders on re-

quest.

Indicator 7.6.1 Culturally appropriate* engagement* is used to ensure that affected stake-

holders* are proactively and transparently engaged in the following processes:

1) Dispute resolution processes* (Criterion* 1.6, Criterion* 2.6, Criterion* 4.6);

2) Definition of Living wages* (Criterion* 2.4);

3) Identification of rights (Criterion* 3.1, Criterion* 4.1), sites (Criterion* 3.5, Criterion* 4.7)


48

and impacts (Criterion* 4.5);

4) Local communities’* socio-economic development activities (Criterion* 4.4); and

5) High Conservation Value* assessment, management and monitoring (Criterion* 9.1,

Criterion* 9.2, Criterion* 9.4).

Note for small organizations: For small organizations, affected stakeholders refers to local

communities and local authorities.

Indicator 7.6.2 Culturally appropriate* engagement* is used to:

1) Determine appropriate representatives and contact points (including where appropriate,

local institutions, organizations and authorities);

2) Determine mutually agreed communication channels allowing for information to flow in

both directions;

3) Ensure all actors (women, youth, elderly, minorities) are represented and engaged with

equally

4) Ensure all meetings, all points discussed and all agreements reached are recorded;

5) Ensure the content of meeting records is approved; and

6) Ensure the results of all culturally appropriate* engagement* activities are shared with

those involved.

Indicator 7.6.3 Affected stakeholders* are provided with an opportunity for culturally appro-

priate* engagement* in monitoring* and planning processes of management activities that

affect their interests.

Note for Small Organizations: For small organizations affected stakeholders refers to local

communities and local authorities.

Indicator 7.6.4 On request, interested stakeholders* are provided with an opportunity for

engagement* in monitoring* and planning processes of management activities that affect their

interests.

PRINCIPLE 8: MONITORING AND ASSESSMENT

The Organization shall demonstrate that, progress towards achieving the management objec-

tives, the impacts of management activities and the condition of the Management Unit, are

monitored and evaluated proportionate to the scale, intensity and risk of management activi-

ties, in order to implement adaptive management.

Criterion 8.1. The Organization shall monitor the implementation of its Management Plan,

including its policies and management objectives, its progress with the activities planned, and

the achievement of its verifiable targets.

Indicator 8.1.1 Procedures are documented and executed for monitoring* the implementation


49

of the Management Plan* including its policies and management objectives* and achievement

of verifiable targets*.

Note for Small Organizations: Small organizations may choose to not document proce-

dures, but demonstrate that the implementation of the management plan is monitored.

Criterion 8.2. The Organization shall monitor and evaluate the environmental and social im-

pacts of the activities carried out in the Management Unit, and changes in its environmental

condition.

Indicator 8.2.1 The social and environmental impacts of management activities are moni-

tored* consistent with Annex 8.

Indicator 8.2.2 Changes in environmental conditions are monitored* consistent with Annex 8.

Criterion 8.3 The Organization shall analyze the results of monitoring and evaluation and

feed the outcomes of this analysis back into the planning process.

Indicator 8.3.1 Adaptive management* procedures are implemented so that monitoring* re-

sults feed into periodic updates to the planning process and the resulting management plan*.

Indicator 8.3.2 If monitoring* results show non-conformities with the FSC Standard then

management objectives*, verifiable targets* and / or management activities are revised.

Criterion 8.4. The Organization shall make publicly available a summary of the results of

monitoring free of charge, excluding confidential information.

Indicator 8.4.1 A summary of the monitoring* results consistent with Annex 8, in a format

comprehensible to stakeholders including maps and excluding confidential information* is

made publicly available* at no cost.

Note for Small organizations: Small organizations may provide monitoring results upon

request.

Criterion 8.5. The Organization shall have and implement a tracking and tracing system pro-

portionate to scale, intensity and risk of its management activities, for demonstrating the

source and volume in proportion to projected output for each year, of all products from the

Management Unit that are marketed as FSC certified.

Indicator 8.5.1 A system is implemented to track and trace all products that are marketed as

FSC certified.

Note for Large organizations: Large organizations implement a system sufficient to control

and inventory all harvested materials from the cut block or coupe to the first point of sale.


50

Note for Small organizations: Small organizations keep sales invoices and compatible log-

ging records as described in 8.5.2.

Indicator 8.5.2 Information about all products sold is compiled and documented, including:

1) Common and scientific species name;

2) Product name or description;

3) Volume (or quantity) of product;

4) Information to trace the material to the source of origin logging block;

5) Logging date;

6) If basic processing activities take place in the forest, the date and volume（or quantity）

produced; and

7) Whether or not the material was sold as FSC certified. If yes, record the CoC certificate

No. and contact information of the customer.

Note: Items 4 and 5 are not applicable for branches and twigs.

Note for Small Organizations: Small organizations are exempt from items 4 and 5.

Indicator 8.5.3 Sales invoices or similar documentation are kept for a minimum of five years

for all products sold with an FSC claim, which identify at a minimum, the following information:

1) Name and address of purchaser

2) The date of sale;

3) Species;

4) Product type;

5) The volume (or quantity) sold;

6) Forest Management / Chain of Custody certificate code; and

7) FSC claim Product Group.

8) The FSC Claim “FSC 100%” identifying products sold as FSC certified.


51

PRINCIPLE 9: HIGH CONSERVATION VALUES

The Organization shall maintain and/or enhance the High Conservation Values in the Man-

agement Unit through applying the precautionary approach.

Note: The national High Conservation Value (HCV) framework for China is under develop-

ment. In the absence of this national interpretation the “Common Guidance” documents of the

HCV Resource Network apply. These include the following:

1. Common Guidance for HCV Identification;

2. Common Guidance for HCV Management and Monitoring.

The Annex 9A provides an overview of possible management strategies for maintenance or

enhancement of HCVs, while the Annex 9B provides Best Available Information* and gen-

eral information sources for the identification of HCVs in China. Special provisions apply for

small organizations as included in the specific indicators.

Criterion 9.1. The Organization, through engagement with affected stakeholders, interested

stakeholders and other means and sources, shall assess and record the presence and status

of the following High Conservation Values in the Management Unit, proportionate to the scale,

intensity and risk of impacts of management activities, and likelihood of the occurrence of the

High Conservation Values:

HCV 1 – Species diversity. Concentrations of biological diversity including endemic species,

and rare, threatened or endangered species, that are significant at global, regional or national

levels.

HCV 2 – Landscape-level ecosystems and mosaics. Intact forest landscapes and large land-

scape-level ecosystems and ecosystem mosaics that are significant at global, regional or

national levels, and that contain viable populations of the great majority of the naturally occur-

ring species in natural patterns of distribution and abundance.

HCV 3 – Ecosystems and habitats. Rare, threatened, or endangered ecosystems, habitats or

refugia.

HCV 4 – Critical ecosystem services. Basic ecosystem services in critical situations, including

protection of water catchments and control of erosion of vulnerable soils and slopes.

HCV 5 – Community needs. Sites and resources fundamental for satisfying the basic necessi-

ties of local communities or Indigenous Peoples (for livelihoods, health, nutrition, water, etc.),

identified through engagement with these communities or Indigenous Peoples.

HCV 6 – Cultural values. Sites, resources, habitats and landscapes of global or national cul-


52

tural, archaeological or historical significance, and/or of critical cultural, ecological, economic

or religious/sacred importance for the traditional cultures of local communities or Indigenous

Peoples, identified through engagement with these local communities or Indigenous Peoples.

Indicator 9.1.1 An assessment is completed using Best Available Information* that records

the location and status of High Conservation Value* Categories 1-6, as defined in Criterion*

9.1; the High Conservation Value* Areas* they rely upon, and their condition.

Note for large organiztions: Large organizations implement on site HCV assessments.

Note for Small Organizations: Small organizations may use FSC guidance and technical

materials for small, low intensity and community forests to do the HCV assessment:

1) Briefing Note 4: High Conservation Values;

2) Briefing Note 5: Simple monitoring methods;

3) FSC step-by-step guide.


Indicator 9.1.2 The assessment uses results from culturally appropriate* engagement* with

affected* and interested stakeholders* with an interest in the conservation* of the High Con-

servation Values*.’

Criterion 9.2.The Organization shall develop effective strategies that maintain and/or en-

hance the identified High Conservation Values, through engagement with affected stakehold-

ers, interested stakeholders and experts.

Indicator 9.2.1 Threats to High Conservation Values* are identified using Best Available In-

formation*.

Indicator 9.2.2 Management strategies and actions are developed to maintain and/or en-

hance the identified High Conservation Values* and to maintain associated High Conserva-

tion Value* Areas* prior to implementing potentially harmful management activities.


materials for small, low intensity and community forests to develop strategies:





Indicator 9.2.3 Affected* and interested stakeholders* and experts are engaged in the devel-

opment of management strategies and actions to maintain and/or enhance the identified High


53

Conservation Values*.

Indicator 9.2.4 The strategies developed are effective to maintain and/or enhance the High

Conservation Values*.

Criterion 9.3. The Organization shall implement strategies and actions that maintain and/or

enhance the identified High Conservation Values. These strategies and actions shall imple-

ment the precautionary approach and be proportionate to the scale, intensity and risk of man-

agement activities.

Indicator 9.3.1 The High Conservation Values*and the High Conservation Value* Areas* on

which they depend are maintained and/or enhanced, including by implementing the strategies

developed.

Indicator 9.3.2 The strategies and actions prevent damage and avoid risks to High Conserva-

tion Values*, even when the scientific information is incomplete or inconclusive, and when the

vulnerability and sensitivity of High Conservation Values* are uncertain.

Note: Strategies and actions include cancelation of planned activities and stop of ongoing

activities.

Indicator 9.3.3 Activities that harm High Conservation Values* cease immediately and ac-

tions are taken to restore* and protect the High Conservation Values*.

Criterion 9.4. The Organization shall demonstrate that periodic monitoring is carried out to

assess changes in the status of High Conservation Values, and shall adapt its management

strategies to ensure their effective protection. The monitoring shall be proportionate to the

scale, intensity and risk of management activities, and shall include engagement with affected

stakeholders, interested stakeholders and experts.

Indicator 9.4.1 A program of periodic monitoring* assesses:

1) Implementation of strategies;

2) The status of High Conservation Values* including High Conservation Value* Areas*

on which they depend; and

3) The effectiveness of the management strategies and actions for the protection* of High

Conservation Value* to fully maintain and/or enhance the High Conservation Values*.


materials for small, low intensity and community forests to design monitoring programs:




54



Indicator 9.4.2 The monitoring* program includes engagement* with affected* and interested

stakeholders* and experts.

Note for Small Organizations: Engagement with experts is not mandatory for small organi-

zations.

Indicator 9.4.3 The monitoring* program has sufficient scope, detail and frequency to detect

changes in High Conservation Values*, relative to the initial assessment and status identified

for each High Conservation Value*.

Note: Large organizations design and implement monitoring programs that measure the ef-

fectiveness of all of their management activities including those that require data collection.


materials for small, low intensity and community forests to design monitoring programs:





Indicator 9.4.4 Management strategies and actions are adapted when monitoring* or other

new information shows that these strategies and actions are ineffective to ensure the mainte-

nance and/or enhancement of High Conservation Values*.


55

PRINCIPLE 10: IMPLEMENTATION OF MANAGEMENT ACTIVITIES

Management activities conducted by or for The Organization for the Management Unit shall

be selected and implemented consistent with The Organization’s economic, environmental

and social policies and objectives and in compliance with the Principles and Criteria collec-

tively.

Criterion 10.1. After harvest or in accordance with the management plan, The Organization

shall, by natural or artificial regeneration methods, regenerate vegetation cover in a timely

fashion to pre-harvesting or more natural conditions.

Indicator 10.1.1 Harvested sites are regenerated in a timely manner* that:

1) Protects affected environmental values*; and

2) Is suitable to recover overall pre-harvest* or natural forest* composition and structure.

Indicator 10.1.2 Regeneration activities* are implemented in a manner that:

1) For harvest of existing plantations*, regenerate to the vegetation cover that existed prior

to the harvest or to more natural conditions* ;

2) For harvest of natural forests*, regenerate to pre-harvest* or to more natural conditions*;

or

3) For harvest of degraded natural forests*, regenerate to more natural conditions*.

Criterion 10.2.The Organization shall use species for regeneration that are ecologically well

adapted to the site and to the management objectives. The Organization shall use native

species and local genotypes for regeneration, unless there is clear and convincing justification

for using others.

Indicator 10.2.1 Species* chosen for regeneration are ecologically well adapted to the site,

are native species* and are of local provenance, unless clear and convincing justification is

provided for using non-local genotypes* or non-native species*.

Note: Rationales for the use of non-local genotypes* or non-native species* may include:

1) Growth rates not meeting management objectives;

2) Yields not being viable for the local species;

3) Native species and / or local genotypes becoming extinct;

4) Native species and / or local genotypes being resistant to disease and pests;

5) Site stresses such as water;

6) Climate change adaptation; or

7) Capacity to stock carbon.

8) Afforestation of degraded agriculture and range lands


56

Indicator 10.2.2 Species chosen for regeneration are consistent with the regeneration objec-

tives and with the management objectives*.

Criterion 10.3. The Organization shall only use alien species when knowledge and/or experi-

ence have shown that any invasive impacts can be controlled and effective mitigation

measures are in place.

Indicator 10.3.1 Alien species* are used only when direct experience and / or the results of

scientific research demonstrate that invasive impacts can be controlled.

Indicator 10.3.2 Alien species* are used only when effective mitigation measures are in place

to control their spread outside the area in which they are established.

Indicator 10.3.3 The spread of invasive species* introduced by The Organization* is con-

trolled.

Indicator 10.3.4 Management activities are implemented, preferably in cooperation with sep-

arate regulatory bodies where these exist, with an aim to control the invasive impacts of alien

species* that were not introduced by the Organization*.

Criterion 10.4 The Organization shall not use genetically modified organisms in the Man-

agement Unit.

Indicator 10.4.1 Genetically modified organisms* are not used.

Note: Two varieties of genetically modified trees are officially approved for purposes of com-

mercial planting. These are Populus nigra (poplar-12) and Populus alda tomentosa cv.741

(poplar-741) for insect resistance. The organization does not use any of these two varieties.

Criterion 10.5 The Organization shall use silvicultural practices that are ecologically appro-

priate for the vegetation, species, sites and management objectives.

Indicator 10.5.1 Silvicultural practices are implemented that are ecologically appropriate for

the vegetation, species, sites and management objectives*.

Criterion 10.6. The Organization shall minimize or avoid the use of fertilizers. When fertilizers

are used, The Organization shall demonstrate that use is equally or more ecologically and

economically beneficial than use of silvicultural systems that do not require fertilizers, and

prevent, mitigate, and/or repair damage to environmental values, including soils.

Indicator 10.6.1 The use of fertilizers* is minimized or avoided.

Indicator 10.6.2 When fertilizers* are used, their ecological and economic benefits are equal

to or higher than those of silvicultural systems that do not require fertilizers*.

Indicator 10.6.3 When fertilizers* are used, their types; rates, and frequencies; and site of

application are documented.


57

Indicator 10.6.4 When fertilizers* are used, environmental values* are protected, including

through implementation of measures to prevent damage.

Indicator 10.6.5 Forbid to use fertilizers at the buffer zones of the rare plant communities,

riparian zones watercourses* and water bodies*.

Indicator 10.6.6 Damage to environmental values* resulting from fertilizer* use is mitigated or

repaired.

Criterion 10.7 The Organization shall use integrated pest management and silviculture sys-

tems which avoid, or aim at eliminating, the use of chemical pesticides. The Organization

shall not use any chemical pesticides prohibited by FSC policy. When pesticides are used,

The Organization shall prevent, mitigate, and/or repair damage to environmental values and

human health.

Indicator 10.7.1 Integrated pest management, including selection of silviculture* systems, is

used to avoid, or aim to eliminate the frequency, extent, and amount of chemical pesticide*

applications, and result in non-use or overall reductions in applications.

Indicator 10.7.2 Chemical pesticides* prohibited by FSC’s Pesticide Policy are not used or

stored in the Management Unit unless FSC has granted derogation.

Indicator 10.7.3 Records of pesticide* usage are maintained, including trade name, active

ingredient, quantity of active ingredient used, period of use, location and area of use, and

reason for use.

Indicator 10.7.4 The use of pesticides* complies with the ILO document “Safety in the use of

chemicals at work” regarding requirements for the transport, storage, handling, application

and emergency procedures for cleanup following accidental spillages.

Indicator 10.7.5 If pesticides* are used, application methods minimize quantities used, while

achieving effective results, and provide effective protection* to surrounding landscapes*.

Indicator 10.7.6 Damage to environmental values* or human health from pesticide* use is

prevented and mitigated or repaired where damage occurs.

Indicator 10.7.7 When pesticides* are used:

1) The selected pesticide*, application method, timing and pattern of use offers the least

risk to humans and non-target species; and

2) Objective evidence demonstrates that the pesticide* is the only effective, practical and

cost effective way to control the pest.

Criterion 10.8. The Organization shall minimize, monitor and strictly control the use of biolog-

ical control agents in accordance with internationally accepted scientific protocols. When bio-


58

logical control agents are used, The Organization shall prevent, mitigate, and/or repair dam-

age to environmental values.

Indicator 10.8.1 The use of biological control agents* is minimized, monitored* and con-

trolled.

Indicator 10.8.2 Use of biological control agents* complies with internationally accepted sci-

entific protocols*.

Note: Internationally accepted scientific protocols include but are not limited to:

1) FSC Guide To integrated pest, disease and weed management in FSC certified forests

and plantations (2009);

2) FAO Code of Conduct for the Import and Release of Exotic Biological Control.

Indicator 10.8.3 The use of biological control agents* is recorded including type, quantity

used, period of use, location of use, and reason for use.

Indicator 10.8.4 Damage to environmental values* caused by the use of biological control

agents* is prevented and mitigated* or repaired* where damage occurs.

Criterion 10.9 The Organization shall assess risks and implement activities that reduce po-

tential negative impacts from natural hazards proportionate to scale, intensity, and risk.

Note: Natural hazards common in China include flooding, landslides, storms, fire, pest dis-

eases, etc.

Indicator 10.9.1 Potential negative impacts of natural hazards* on infrastructure*, forest*

resources and communities in the Management Unit*are assessed.

Note for Small organizations: Small organizations implement all requirements of this stand-

ard. Applicable regulations about slope harvesting are implemented, and the FSC defini-

tion about intensive management activities is applied if “clear cut” is not defined in the

applicable regulation. Additional activities as per Criterion 10.9 are not required.

Indicator 10.9.2 Management activities mitigate these impacts.





Indicator 10.9.3 The risk* for management activities to increase the frequency, distribution or

severity of natural hazards* is identified for those hazards* that may be influenced by man-

agement.


59





Indicator 10.9.4 Management activities are modified and/or measures are developed and

implemented that reduce the identified risks*.





Criterion 10.10 The Organization shall manage infrastructural development, transport activi-

ties and silviculture so that water resources and soils are protected, and disturbance of and

damage to rare and threatened species, habitats, ecosystems and landscape values are pre-

vented, mitigated and/or repaired.

Indicator 10.10.1 Development, maintenance and use of infrastructure*, as well as transport

activities, are managed to protect environmental values* identified in Criterion* 6.1.

Indicator 10.10.2 Silviculture* activities are managed to ensure protection of the environmen-

tal values* identified in Criterion* 6.1.

Indicator 10.10.3 Disturbance or damages to water courses*, water bodies*, soils, rare and

threatened species*, habitats*, ecosystems* and landscape values* are prevented, mitigat-

ed*, repaired* and restored* in a timely manner*, and management activities modified to pre-

vent further damage.

Criterion 10.11. The Organization shall manage activities associated with harvesting and

extraction of timber and non-timber forest products so that environmental values are con-

served, merchantable waste is reduced, and damage to other products and services is avoid-

ed.

Indicator 10.11.1 Harvesting and extraction practices for timber and non-timber forest prod-

ucts* are implemented in a manner that conserves environmental values* as identified in Cri-

terion* 6.1.

Indicator 10.11.2 Harvesting practices optimize the use of forest* products and merchantable

materials.

Indicator 10.11.3 Amounts of dead and decaying biomass and forest* structure are retained


60

to conserve environmental values*.

Indicator 10.11.4 Harvesting practices avoid damage to standing residual trees, residual

woody debris on the ground and other environmental values*. Forbid high-grading.

Indicator 10.11.5 High-grading harvesting of forest resources does not take place.

Note: High grading is a selective type of timber harvesting that removes the highest grade of

timber (i.e. the most merchantable stems) in a particular forest area.

Criterion 10.12. The Organization shall dispose of waste materials in an environmentally

appropriate manner.

Indicator 10.12.1 Collection, clean up, transportation and disposal of all waste materials* is

done in an environmentally appropriate way that conserves environmental values* as identi-

fied in Criterion* 6.1.

Note：Waste products include:

1) Hazardous waste, including Chemical waste and batteries;

2) Containers;

3) Motor and other fuels and oils;

4) Rubbish including metals, plastics and paper; and

5) Abandoned buildings, machinery and equipment.

6) Domestic waste


61

Annex 1 List of applicable laws, regulations and nationally-ratified

international treaties, conventions and agreements

Note: For the laws, regulations and nationally-ratified treaties, conventions and agreements

without a version number or invalid, the latest edition of the referenced document (including

any amendments) applies.

1. Legal* rights to harvest

1.1 Land tenure* and

management rights

Legislation covering land tenure* rights, including customary

rights* as well as management rights, that includes the use of

legal* methods to obtain tenure* rights and management rights.

It also covers legal* business registration and tax registration,

including relevant legally required licenses.

Forest Law of the People's Republic of China (2009)

Land Management Law of P. R. China (2004)

Company Law of the People’s Republic of China (2013)

Enterprise Income Tax Law of People's Republic of China (2007)

Rural Land Contract Law of the People's Republic of China (2002)

Regulation on the Implementation of the Forestry Law of the People's Republic of China

(2000)

Regulation on the Implementation of the Land Management Law of the Peoples Republic of

China （1996）

Processing Measures for the Disputes of Forest Trees and Forest Land Tenure and Owner-

ship (1996)

Administration Measures for Forest and Forestland Tenure Registration (2000)

Property Law of the People's Republic of China (2007)

Regulations Governing Examination and Approval of Occupation and Requisition of Forest

Land (2001)

1.2 Concession licenses Legislation regulating procedures for issuing forest* concession

licenses, including the use of legal* methods to obtain conces-

sion licenses. Bribery, corruption and nepotism are particularly

well known issues that are connected with concession licenses.


62



(2000)


ship (1996)


Law of the People's Republic of China on the Mediation and Arbitration of Rural Land Con-

tract Disputes (2010)

1.3 Management and

harvesting planning

Any national or sub-national legal* requirements for Manage-

ment Planning, including conducting forest* inventories, having a

forest* management plan* and related planning and monitoring,

impact assessments, consultation with other entities, as well as

approval of these by legally competent* authorities.



(2000)

Management Rules of Felling and Regeneration of Forest （1987）

1.4 Harvesting permits National or sub-national laws and regulations regulating proce-

dures for issuing harvesting permits, licenses or other legal*

documents required for specific harvesting operations. This in-

cludes the use of legal* methods to obtain the permits. Corrup-

tion is a well-known issue that is connected with the issuing of

harvesting permits.



(2000)

Management Rules of Felling and Regeneration of Forest

Convention on International Timber Agreement

2. Taxes and fees

2.1 Payment of royalties Legislation covering payment of all legally required forest* har-


63

and harvesting fees vesting specific fees such as royalties, stumpage fees and other

volume based fees. This includes payments of the fees based on

the correct classification of quantities, qualities and species. In-

correct classification of forest* products is a well-known issue

that is often combined with bribery of officials in charge of con-

trolling the classification.



(2000)

Management Rules of Felling and Regeneration of Forest


Measures for Collection, Use and Management of Silviculture Fund

2.2 Value added taxes

and other sales taxes

Legislation covering different types of sales taxes which apply to

the material being sold, including the sale of material as growing

forest* (standing stock sales).


2.3 Income and profit

taxes

Legislation covering income and profit taxes related to profit de-

rived from the sale of forest* products and harvesting activities.

This category is also related to income from the sale of timber

and does not include other taxes generally applicable for compa-

nies and is not related to salary payments.


3. Timber harvesting activities

3.1 Timber

harvesting

regulations

Any legal* requirements for harvesting techniques and technology

including selective cutting, shelter wood regenerations, clear felling,

transport of timber from the felling site, seasonal limitations, etc.

Typically this includes regulations on the size of felling areas, mini-

mum age and/or diameter for felling activities, and elements that

shall* be preserved during felling, etc. Establishment of skidding or

hauling trails, road construction, drainage systems and bridges, etc.,


64

shall* also be considered as well as the planning and monitoring of

harvesting activities. Any legally binding codes for harvesting prac-

tices shall* be considered.



(2000)

Interim Provisions of Annual Forest Cutting Quota （1985）

3.2 Protected sites

and species

International, national, and sub national treaties, laws, and regula-

tions related to protected areas, allowable forest* uses and activi-

ties, and/or rare, threatened, or endangered species, including their

habitats* and potential habitats*.

Convention on Biological Diversity

United Nations Framework Convention on Climate Change

Convention on Wetlands of International Importance

International Convention for the Protection of new Varieties of Plants

United Nations Convention on the Prevention and Control of Desertification in the Countries

with Severe Drought and / or Desertification


Law of the People's Republic of China on the Protection of Wildlife (2004)

Lists of Wildlife under Special State Protection (1988)

China's Red List of Biodiversity - Higher Plant Volume (2013)

China's Red List of Biodiversity - Vertebrate Volume (2015)

Chinese Rare and Endangered Animal List

Regulations of the People's Republic of China for the Implementation of the Protection of

Terrestrial Wildlife (1992)

Regulations of the People's Republic of China on the Protection of Wild Plants (1996)

Regulations of the People's Republic of China on Natural Reserves (1994)

Environmental Protection Law of the People's Republic of China (2014)

Law of the People's Republic of China on Environmental Impact Assessment (2002)



65

(2000)

Measures for the Administration of the Nature Reserves of Forest and Wild Animal Types

(1985)

Measures for the Administration of Natural Forest Resources Protection Project (2001)

Measures for the Division of the National Public Welfare Forest (2009)

3.3 Environmental

requirements

National and sub national laws and regulations related to the identi-

fication and/or protection* of environmental values* including but not

limited to those relating to or affected by harvesting, acceptable

levels for soil damage, establishment of buffer zones (e.g., along

water courses, open areas and breeding sites), maintenance of

retention trees on the felling site, seasonal limitations of harvesting

time, environmental requirements for forest* machineries, use of

pesticides* and other chemicals, biodiversity conservation*, air

quality, protection* and restoration* of water quality, operation of

recreational equipment, development of non-forestry infrastructure*,

mineral exploration and extraction, etc.

Environmental Protection Law of the People's Republic of China

Law of the People's Republic of China on Combating Desertification (2001)

Law of the People's Republic of China on Water and Soil Conservation (2010)

Water Law of the People's Republic of China (2002)

Law of the People's Republic of China on the Prevention and Control of Water Pollution

(2008)

National defense Flood Law of the people's Republic of China (1997)

Regulations of the People's Republic of China on Flood Prevention and Control (1998)

Law of the People's Republic of China on the Prevention and Control of Atmospheric Pollution

(1995)

Law of the People's Republic of China on the Prevention and Control of Solid Waste Pollution

(1996)

Law of the people's Republic of China on Environmental Impact Assessment (2002)

State Regulations for Environmental Monitoring (1983)

Measures for the Administration of Environmental Impact Assessment of Construction Pro-

jects (1989)


66

Regulations of the People's Republic of China on Natural Reserves (1994)

Regulations of the People's Republic of China on the Prevention and Control of Forest Dis-

eases and Insect Pests (1989)

Rules for the Implementation of the Law of the People's Republic of China on Water and Soil

Conservation (1993)

Regulations of the People's Republic of China on the Protection of New Varieties of Plants

(1997)

The Detailed Rules for the Implementation of the People's Republic of China on the Protec-

tion of New Varieties of Plants (Forestry part) (1999)

Regulations for Returning Farmland to Forests (2002)

Pesticide Management Regulations (2001)

Regulations on the Safety Administration of Hazardous Chemicals (2011)

Standard for Pollution Control on the Landfill Site for Domestic Waste (GB16889-2008)

Measures for the Administration of the Nature Reserves of Forest and Wild Animal Types

(1985)

Measures for the Division of the National Public Welfare Forest (2009)

Measures for the Administration of Natural Forest Resources Protection Project (2001)

Ecological Forest Construction Guide (2001)

Vienna Convention for the Protection of the Ozone Layer

3.4 Health and safety Legally required personal protection* equipment for persons in-

volved in harvesting activities, implementation of safe felling and

transport practices, establishment of protection* zones around har-

vesting sites, safety requirements for machinery used, and legally

required safety requirements in relation to chemical usage. The

health and safety requirements that shall* be considered relevant to

operations in the forest* (not office work, or other activities less re-

lated to actual forest* operations).

China Ratified ILO conventions (C11, C14, C16, C19, C22, C23, C26, C27, C32, C45, C80,

C100, C111, C122, C138, C144, C150, C155, C159, C167, C172 and C182)

Labor Law of the People's Republic of China (1994)

Law of the People's Republic of China on Trade Unions (2009)


67

Law of the People's Republic of China on Safe Production (2002)

Forest Fire Prevention Act (2008)

Pesticide Management Regulation (2001)

Regulation on the Safety Administration of Hazardous Chemicals (2011)

Health and safety in ILO Forest Work (1998)

Law of the People's Republic of China on the Prevention and Treatment of Occupational Dis-

eases (2012)

3.5 Legal*

employment

Legal* requirements for employment of personnel involved in har-

vesting activities including requirements for contracts and working

permits, requirements for obligatory insurance, requirements for

competence certificates and other training requirements, and pay-

ment of social and income taxes withheld by the employer. Also

covered are the observance of minimum working age and minimum

age for personnel involved in hazardous work, legislation against

forced and compulsory labor, and discrimination and freedom of

association.

China Ratified ILO conventions (C11, C14, C16, C19, C22, C23, C26, C27, C32, C45, C80,

C100, C111, C122, C138, C144, C150, C155, C159, C167, C172 and C182)

Labor Law of the People's Republic of China (1994)

Insurance Law of the People's Republic of China (2002)

Law of the People's Republic of China on Trade Unions (2009)

Provisions on Labor Management of Foreign Invested Enterprises (1995)

Notice of the Ministry of Labor on the Implementation of the Minimum Wage Guarantee Sys-

tem (1994)

Law of the People's Republic of China on the Protection of Women and Children's Rights and

Interests (2005)

Law of the People's Republic of China on the Guarantee of the Rights and Interests of Wom-

en (2005)

Special Provisions on the Labor Protection of Female Employees (2012)

4. The rights of third parties

4.1 Customary Legislation covering customary rights* relevant to forest* harvesting


68

rights* activities, including requirements covering the sharing of benefits

and indigenous rights.

Law of the People's Republic of China on Regional National Autonomy (2001)




Regulations of the People's Republic of China on the Implementation of the Land Administra-

tion Law (1998)


ship (1996)


4.2 Free Prior and

Informed Consent*

Legislation covering “free prior and informed consent” in connection

with the transfer of forest* management rights and customary rights*

to The Organization* in charge of the harvesting operation.





Regulations Governing Examination and Approval of Occupation and Requisition of Forest

Land (2001)


ship (1996)


Villager Committee Organization Law of P.R. China 1998 (revised in 2010)

4.3 Indigenous

Peoples’* rights

Legislation that regulates the rights of Indigenous Peoples* as far as

it is related to forestry activities. Possible aspects to consider are

land tenure*, and rights to use certain forest* related resources and

practice traditional activities, which may involve forest* lands.




69

Regulations for the Implementation of the Land Management Law of the People‘s Republic of

China


ship (1996)


5. Trade and transport

NOTE: This section covers requirements for forest* management opera-

tions as well as processing and trade.

5.1 Classification of

species, quantities,

qualities

Legislation regulating how harvested material is classified in terms

of species, volumes and qualities in connection with trade and

transport. Incorrect classification of harvested material is a well

known method to reduce or avoid payment of legally prescribed

taxes and fees.

Measures for the Management of Forest Seed Quality (2007)

Measures for the Management of Forest Seed Packaging and Labelling (2002)

5.2 Trade and

transport

All required trading and transport permits shall* exist as well as le-

gally required transport documents which accompany the transport

of wood from forest* operations.



(2000)

Measures for the Management of Forest Seed Production and Operation License (2002)

Provisions on Annual Inspection System of Forest Seed Production and Operation License

(2003)

5.3 Offshore trading

and transfer pricing

Legislation regulating offshore trading. Offshore trading with related

companies placed in tax havens, combined with artificial transfer

prices is a well-known way to avoid payment of legally prescribed

taxes and fees to the country of harvest and is considered to be an

important source of funds that can be used for payment of bribery to

the forest* operations and personnel involved in the harvesting op-


70

eration. Many countries have established legislation covering trans-

fer pricing and offshore trading. It should* be noted that only transfer

pricing and offshore trading, as far as it is legally prohibited in the

country, can be included here.

Customs Law (2000)

Foreign Trade Act (2004)

Measures for the Administration of Export License of Goods (2008)

Law on Import and Export Commodity Inspection (1989)

Regulations on the Administration of Import and Export of Goods (2001)

Entry and Exit Animal and Plant Inspection and Quarantine Law (1991)

Regulations on the Administration of Import and Export of Endangered Species of Wild Ani-

mals and Plants (2006)

5.4 Custom

regulations

Custom legislation covering areas such as export/import licenses

and product classification (codes, quantities, qualities and species).

Law of the People's Republic of China on Quarantine Inspection of Animals and Plants Enter-

ing and Leaving the Country (1991)

Regulations of the People's Republic of China on the Implementation of the Entry and Exit

Animal and Plant Quarantine Law (1996)

Provisions on Quarantine Examination and Approval and Supervision of the Introduction of

Forest Seeds, Seedlings and Other Propagating Materials (2003)

5.5 CITES CITES permits (the Convention on International Trade in Endan-

gered Species of Wild Fauna and Flora, also known as the Wash-

ington Convention).

Convention on International Trade in Endangered Species of Wild Fauna and Flora

Law of the People's Republic of China on the Protection of Wildlife (2004)

Regulations of the People's Republic of China for the Implementation of the Protection of

Terrestrial Wildlife (1992)

Regulations of the People's Republic of China on the Protection of Wild Plants (1996)

Measures for the Administration of the Nature Reserves of Forest and Wild animal Types

(1985)


71

China Biodiversity Red List - Higher Plant Volume (2013)

China Biodiversity Red List - Vertebrate Volume (2015)

Chinese Rare and Endangered Animal List

6. Due diligence / due care

6.1 Due diligence /

due care procedures

Legislation requiring due diligence/due care procedures, in-

cluding, e.g., due diligence/due care systems, declaration

obligations, and/or the keeping of trade related documents,

etc.

Specific legislation covering due diligence requirements does not exist. Please refer to section

5 ‚Trade and Transport’ for trade related obligations.

7. Ecosystem Services

Legislation covering ecosystem services* rights, including

customary rights* as well as management rights that include

the use of legal* methods to make claims and obtain benefits

and management rights related to ecosystem services*. Na-

tional and subnational laws and regulations related to the

identification, protection and payment for ecosystem ser-

vices*. Also includes legal* business registration and tax reg-

istration, including relevant legal* required licenses for the

exploitation, payment, and claims related to ecosystem ser-

vices* (including tourism).

Specific legislation covering ecosystem services and associated rights does not exist.


72

Annex 2A Training requirements for workers

This list of training requirements is intended for those workers* with specific job responsibili-

ties related to the implementation of this standard.

Workers* are able to:

1) Implement forest activities to comply with applicable legal requirements (Criterion 1.5);

2) Understand the content, meaning and applicability of the eight ILO Core Labour Con-

ventions (Criterion 2.1);

3) Recognize and report on instances of sexual harassment and gender discrimination

(Criterion 2.2);

4) Safely handle and dispose of hazardous substances to ensure that use does not pose

health risks (Criterion 2.3);

5) Carry out their responsibilities for particularly dangerous jobs or jobs entailing a special

responsibility (Criterion 2.5);

6) Identify where Indigenous Peoples have legal and customary rights related to manage-

ment activities (Criterion 3.2);

7) Identify and implement applicable elements of UNDRIP and ILO Convention 169 (Crite-

rion* 3.4);

8) Identify sites of special cultural, ecological, economic, religious or spiritual significance

to Indigenous Peoples and implement the necessary measures to protect them before

the start of forest management activities to avoid negative impacts (Criterion 3.5 and

Criterion 4.7);

9) Identify where local communities have legal and customary rights related to manage-

ment activities (Criterion 4.2);

10) Carry out social, economic and environmental impact assessments* and develop ap-

propriate mitigation measures (Criterion* 4.5);

11) Implement activities related to the maintenance and/or enhancement of declared eco-

system services* (Criterion* 5.1);

12) Handle, apply and store pesticides* (Criterion* 10.7); and

13) Implement procedures for cleaning up spills of waste materials* (Criterion* 10.12).


73

Annex 2B Personal protective equipment for workers

(Source: ILO Safety and health in forestry work, page 37)

means required to wear


74

Annex 5 Claims for Ecosystem Services

Applicable for those organizations who make FSC promotional claims regarding the mainte-

nance and/or enhancement of ecosystem services*

I. General indicators

1) A publicly available* Ecosystem Services Certification Document is developed and in-

cludes:

i. A declaration of the ecosystem services* for which a promotional claim is being or will be

made;

ii. A description of the current condition of the declared ecosystem services*;

iii. Legal* tenure* to manage, use and/or receive payments for declared ecosystem services*;

iv. Management objectives* related to maintenance and/or enhancement of declared ecosys-

tem services*;

v. Verifiable targets* related to maintenance and/or enhancement of declared ecosystem ser-

vices*;

vi. Management activities and strategies related to declared ecosystem services*;

vii. Areas within and outside of the Management Unit* that contribute to the declared ecosys-

tem services*;

viii. Threats to the declared ecosystem services* within and outside of the Management Unit*;

ix. A description of management activities to reduce the threats to declared ecosystem ser-

vices* within and outside of the Management Unit; and

x. A description of the methodology used to evaluate the impacts of management activities on

the declared ecosystem services* within and outside of the Management Unit*, based on the

FSC Procedure for Demonstrating the Impact of Forest Stewardship on Ecosystem Services

xi. A description of monitoring results related to the implementation of management activities

and strategies related to the maintenance and/or enhancement of declared ecosystem ser-

vices*.

xii. A description of results of the evaluation of impacts of activities and threats on the de-

clared ecosystem services;

xiii. A list of communities and other organizations involved in activities related to the declared

ecosystem services*; and

xiv. A summary of culturally appropriate* engagement* with indigenous peoples* and local

communities*, related to the declared ecosystem services* including ecosystem service* ac-


75

cess and use, and benefit sharing, consistent with Principle* 3 and Principle* 4.

2) The results of the evaluation of impacts demonstrate that verifiable targets* for the mainte-

nance and/or enhancement of the declared ecosystem services*, are met or exceeded; and

3) The results of the evaluation of impacts demonstrate no negative impacts from manage-

ment activities on the declared ecosystem services* within or outside of the Management

Unit*.

II. Management Indicators

INSTRUCTIONS FOR STANDARDS DEVELOPERS: For each specific declared ecosystem

service*, the following Management Indicators shall be used as the basis for developing indi-

cators at the national or regional level. Standards Developers shall* ensure that the FSC

Guidance on Maintaining and Enhancing Ecosystem Services guides the development of

suitable indicators at the national or regional level.

A. All Services

1) Management indicators for all Ecosystem Services* ensure:

i. Peatlands* are not drained;

ii. Wetlands*, peatlands*, savannahs or natural grasslands* are not converted to plantations*

or any other land use;

iii. Areas converted from wetlands*, peatlands*, savannahs or natural grasslands* to planta-

tion* since November 1994 are not certified, except where:

a) The Organization* provides clear and sufficient evidence that it was not directly or indirectly

responsible for the conversion; or

b) The conversion is producing clear, substantial, additional, secure, long-term* conservation*

benefits in the Management Unit*; and

c) The total area of plantation* on sites converted since November 1994 is less than 5% of

the total area of the Management Unit*.

iv. Knowledgeable experts independent of The Organization* confirm the effectiveness of

management strategies and actions to maintain and/or enhance the identified High Conserva-

tion Value* areas.


76

B. Carbon Sequestration and Storage

1) In addition to requirements to maintain environmental values in Principle* 6, and Principle

9* when promotional claims are made regarding carbon sequestration and storage, the follow-

ing are demonstrated:

Forests* are identified to be protected due to their carbon stocks, according to the FSC Guid-

ance for Maintaining and Enhancing Ecosystem Services.

Management activities maintain, enhance or restore* carbon storage in the forest*; including

through forest* protection* and reduced impact logging practices for carbon, as described in

the FSC Guidance for Maintaining and Enhancing Ecosystem Services.

C. Biological Diversity* Conservation*

1) In addition to provisions to protect biological diversity in Principle* 6 and Principle* 9, when

promotional claims are made regarding biological diversity* conservation*, the following are

demonstrated:

i. Management activities maintain, enhance or restore*:

a) Rare and threatened species* and their habitats*, including through the provision of con-

servation zones*, protection areas*, connectivity*, and other direct means for their survival

and viability; and

b) Natural landscape-level characteristics, including forest* diversity, composition and struc-

ture.

ii. The conservation area network*, and conservation areas outside the Management Unit*:

a) Represents the full range of environmental values* in the Management Unit*;

b) Has sufficient size or functional connectivity, to support natural processes;

c) Contains the full range of habitats present for focal species* and rare and threatened spe-

cies*; and

d) Has sufficient size or functional connectivity with other suitable habitat to support viable

populations of focal species* including rare and threatened species* in the region.

iii. Knowledgeable experts independent of The Organization* confirm the sufficiency of the

conservation area network*.

D. Watershed Services

1) In addition to measures to protect water in Principle* 6 and measures to reduce the impact

from natural hazards* in Principle* 10, where promotional claims are made regarding water-

shed services:

i. An assessment identifies:


77

a) Hydrological features and connections, including permanent and temporary water bodies*,

watercourses*, and aquifers*;

b) Domestic water needs for local communities* and Indigenous Peoples* within and outside

of the Management Unit* that may be impacted by management activities;

c) Areas of water stress* and water scarcity*; and

d) Consumption of water by The Organization* and other users.

2) Measures are implemented to maintain, enhance or restore* permanent and temporary

water bodies*, watercourses*, and aquifers*;

3) Chemicals, waste and sediment are not discharged into water bodies*, watercourses* or

aquifers*; and

4) Management activities and strategies respect universal access to water, as defined in the

UN resolution on the human right to water and sanitation;.

E. Soil Conservation

1) In addition to measures related to soil in Principle* 6 and Principle* 10, where promotional

claims are made regarding soil conservation, the following are demonstrated:

i. Vulnerable or high risk soils are identified, including thin soils, soils with poor drainage and

subject to waterlogging, and soils prone to compaction, erosion, instability and run-off;

ii. Measures are implemented to reduce compaction, erosion and landslides;

iii. Management activities maintain, enhance or restore soil fertility and stability; and

iv. Chemicals and waste are not discharged into soil.

F. Recreational Services

1) In addition to measures to assess, prevent, and mitigate negative impacts of management

activities on social values identified in Principle* 2 to Principle* 5 and Principle* 9, where pro-

motional claims are made regarding recreational services, the following are demonstrated:

i. Measures are implemented to maintain, enhance or restore*:

a) Areas of importance for recreation and tourism including site attractions, archaeological

sites, trails, areas of high visual quality and areas of cultural or historical interest; and

b) Populations of species that are a tourist attraction.

ii. The rights, customs and culture of Indigenous Peoples* and local communities* are not

violated by tourism activities;:

iii. In addition to health and safety practices in Criterion* 2.3, practices are implemented to

protect the health and safety of tourism customers;


78

iv. Health and safety plans and accident rates are publicly available in recreational areas and

areas of interest to the tourism sector; and

v. A summary is provided of activities that demonstrate prevention of discrimination based on

gender, age, ethnicity, religion, sexual orientation or disability.

Annex 6 The China Biodiversity Red List

The organization shall refer to the China Biodiversity Red List issued by Ministry of Environ-

mental Protection.

China Biodiversity Red List - higher plant volume：http://www.mep.gov.cn/gkml/hbb/bgg/201309/W020130917614244055331.pdf

China Biodiversity Red List – vertebrate volume：

http://www.mep.gov.cn/gkml/hbb/bgg/201505/W020150526581939212392.pdf

Annex 7A Elements of the Management Plan.

The annex lists all possible elements of the management plan. Different management units

with different scale, intensity and risk shall determine the applicability according to the re-

quirements in the corresponding indicators.

1. The results of assessments, including:

i. Natural resources and environmental values, as identified in Principle 6 and Prin-

ciple 9;

ii. Social, economic and cultural resources and condition, as identified in Principle 6,

Principle 2 to Principle 5 and Principle 9;

iii. Major social and environmental risks in the area, as identified in Principle 6, Prin-

ciple 2 to Principle 5 and Principle 9; and

iv. The maintenance and/or enhancement of ecosystem services for which promo-

tional claims are made as identified in Criterion 5.1 and Annex C.

2. Programs and activities regarding:

i. Workers’ rights, occupational health and safety, gender equality, as identified in

Principle 2;

ii. Indigenous Peoples, community relations, local economic and social development,

as identified in Principle 3, Principle 4 and Principle 5;




79

iii. Stakeholder engagement and the resolution of disputes and grievances, as identi-

fied in Principle 1, Principle 2 and Principle 7;

iv. Planned management activities and timelines, silvicultural systems used, typical

harvesting methods and equipment, as identified in Principle 10;

v. The rationale for harvesting rates of timber and other natural resources, as identi-

fied in Principle 5.

3. Measures to conserve and/or restore:

i. Rare and threatened species and habitats;

ii. Water bodies and riparian zones;

iii. Landscape connectivity, including wildlife corridors;

iv. Declared ecosystem services as identified in Criterion 5.1, and Annex C;

v. Representative Sample Areas, as identified in Principle 6; and

vi. High Conservation Values, as identified in Principle 9.

4. Measures to assess, prevent, and mitigate negative impacts of management activities

on:

i. Environmental values, as identified in Principle 6 and Principle 9;

ii. Declared Ecosystem services as identified in Criterion 5.1 and Annex C;

iii. Social Values, as identified in Principle 2 to Principle 5 and Principle 9.

5. A description of the monitoring program, as identified in Principle 8, including:

i. Growth and yield, as identified in Principle 5;

ii. Declared Ecosystem services as identified in Criterion 5.1 and Annex C;

iii. Environmental values, as identified in Principle 6

iv. Operational impacts, as identified in Principle 10;

v. High Conservation Values, as identified in Principle 9;

vi. Monitoring systems based on stakeholder engagement planned or in place, as

identified in Principle 2 to Principle 5 and Principle 7;

vii. Maps describing the natural resources and land use zoning on the Management

Unit.


80

Annex 7B Framework for Planning and Monitoring (example)

The annex lists possible documents and monitoring elements. Different management units

with different scale, intensity and risk shall determine the applicability according to the re-

quirements in the corresponding indicators.

Sample Man-agement Plan* Document Note: These will vary with SIR and jurisdiction

Manage-ment Plan* Revision Periodicity

Element Being Monitored (Partial List)

Monitoring Periodicity

Who Monitors This Element? (Note: These will vary with SIR and jurisdic-tion)

FSC Principle* / Criteri-on*

Site Plan

(Harvest Plan)

Annual Creek crossings When in the

field and

annually

Operational staff P10

Roads When in the

field and

annually

Operational staff P10

Retention patches Annually

sample

Operational staff P6, P10

Rare Threatened

and Endangered

species

Annually Consulting Biologist P6

Annual harvest

levels

Annually Woodlands Manager C5.2

Insect disease

outbreaks

Annually,

sample

Consulting Biologist /

Ministry of Forests

Budgeting Annual Expenditures Annually Chief Financial Officer P5

Contribution to

local economy

Quarterly General Manager P5

Engagement*

Plan

Annual Employment sta-

tistics

Annually General Manager P3, P4

Social Agreements Annually, or

as agreed in

Social Coordinator P3, P4


81

Sample Man-agement Plan* Document Note: These will vary with SIR and jurisdiction

Manage-ment Plan* Revision Periodicity

Element Being Monitored (Partial List)

Monitoring Periodicity

Who Monitors This Element? (Note: These will vary with SIR and jurisdic-tion)

FSC Principle* / Criteri-on*

Engagement*

Plan

Grievances Ongoing Human Resources Man-

ager

P2, P3,

P4

management

plan*

5 or 10

years

Wildlife popula-

tions

To be deter-

mined

Ministry of Environment P6

Coarse Woody

Debris

Annually Ministry of Forests P10

Free growing /

regeneration

Annually,

sample

Age class distribu-

tion

Size class distribu-

tion

Ten years Ministry of Environment P6

10 year Allowable

Annual Cut

Annually, ten

years

Ministry of Forests /

Woodlands manager

C5.2

Ecosystem Ser-

vices Certification

Document

5 years Prior to validation

and verification

Prior to vali-

dation and

verification

General Manager Annex 5


82

Annex 8 Monitoring Requirements

The annex lists all possible monitoring elements. Different management units with different

scale, intensity and risk shall determine the applicability according to the requirements in the

corresponding indicators.

1. Monitoring in 8.2.1 is sufficient to identify and describe the environmental impacts of

management activities, including where applicable:

i. The results of regeneration activities (Criterion 10.1);

ii. The use of ecologically well adapted species for regeneration (Criterion 10.2);

iii. Invasiveness or other adverse impacts associated with any alien species within

and outside the Management Unit (Criterion 10.3);

iv. The use of genetically modified organisms to confirm that they are not being

used (Criterion 10.4);

v. The results of silvicultural activities (Criterion 10.5);

vi. Adverse impacts to environmental values from fertilizers (Criterion 10.6);

vii. Adverse impacts from the use of pesticides (Criterion 10.7);

viii. Adverse impacts from the use of biological control agents (Criterion 10.8);

ix. The impacts from natural hazards (Criterion 10.9);

x. The impacts of infrastructural development, transport activities and silviculture to

rare and threatened species, habitats, ecosystems, landscape values, water and

soils (Criterion 10.10);

xi. The impacts of harvesting and extraction of timber on non-timber forest products,

environmental values, merchantable wood waste and other products and ser-

vices (Criterion 10.11); and

xii. Environmentally appropriate disposal of waste materials (Criterion* 10.12).

2. Monitoring in 8.2.1 is sufficient to identify and describe social impacts of management

activities, including where applicable:

i. Evidence of illegal or unauthorized activities (Criterion 1.4);

ii. Compliance with applicable laws, local laws, ratified international conventions and

obligatory codes of practice (Criterion 1.5);

iii. Resolution of disputes and grievances (Criterion 1.6, Criterion 2.6, Criterion 4.6);

iv. Programs and activities regarding workers’ rights (Criterion 2.1);

v. Gender equality, sexual harassment and gender discrimination (Criterion 2.2);

vi. Programs and activities regarding occupational health and safety (Criterion 2.3);

vii. Payment of wages (Criterion 2.4);

viii. Workers’ training (Criterion 2.5);

ix. Where pesticides are used, the health of workers exposed to pesticides (Criterion

2.5 and Criterion 10.7);


83

x. The identification of Indigenous Peoples and local communities and their legal and

customary rights (Criterion 3.1 and Criterion 4.1);

xi. Full implementation of the terms in binding agreements (Criterion 3.2 and Criterion

4.2);

xii. Indigenous Peoples and community relations (Criterion 3.2, Criterion 3.3 and Cri-

terion 4.2);

xiii. Protection of sites of special cultural, ecological, economic, religious or spiritual

significance to Indigenous Peoples and local communities (Criterion 3.5 and Crite-

rion 4.7);

xiv. The use of traditional knowledge and intellectual property (Criterion 3.6 and Crite-

rion 4.8);

xv. Local economic and social development (Criterion 4.2, Criterion 4.3, Criterion 4.4,

Criterion 4.5);

xvi. The production of diversified benefits and/or products (Criterion 5.1);

xvii. The maintenance and/or enhancement of ecosystem services (Criterion 5,1);

xviii. Activities to maintain or enhance ecosystem services (Criterion 5.1);

xix. Actual compared to projected annual harvests of timber and non-timber forest

products (Criterion 5.2);

xx. The use of local processing, local services and local value added manufacturing

(Criterion 5.4);

xxi. Long term economic viability (Criterion 5.5); and

xxii. High Conservation Values 5 and 6 identified in Criterion 9.1.

3. Monitoring procedures in 8.2.2 are sufficient to identify and describe changes in

environmental conditions including where applicable:

i. The maintenance and/or enhancement of ecosystem services (Criterion 5.2)

(when The Organization makes FSC promotional claims regarding the provision of

ecosystem services, or receives payment for the provision of ecosystem services);

ii. Environmental values and ecosystem functions including carbon sequestration

and storage (Criterion* 6.1); including the effectiveness of actions identified and

implemented to prevent, mitigate and repair negative impacts to environmental

values (Criterion 6.3);

iii. Rare and threatened species, and the effectiveness of actions implemented to

protect them and their habitats (Criterion 6.4);

iv. Representative sample areas and the effectiveness of actions implemented to

conserve and/or restore them (Criterion 6.5);

v. Naturally occurring native species and biological diversity and the effectiveness of

actions implemented to conserve and/or restore them (Criterion 6.6);


84

vi. Water courses, water bodies, water quantity and water quality and the effectiveness

of actions implemented to conserve and/or restore them (Criterion 6.7);

vii. Landscape values and the effectiveness of actions implemented to maintain

and/or restore them (Criterion 6.8);

viii. Conversion of natural forest to plantations or conversion to non-forest (Criterion

6.9);

ix. The status of plantations established after 1994 (Criterion 6.10); and

x. High Conservation Values 1 to 4 identified in Criterion 9.1 and the effectiveness of

actions implemented to maintain and/or enhance them.

Annex 9A Strategies for maintenance of HCVs

HCV 1 – Protection zones, harvest prescriptions, and/or other strategies to protect threat-

ened, endangered, endemic species, or other concentrations of biological diversity and the

ecological communities and habitats upon which they depend, sufficient to prevent reductions

in the extent, integrity, quality, and viability of the habitats and species occurrences. Where

enhancement is identified as the objective, measures to develop, expand, and/or restore habi-

tats for such species are in place.

HCV 2 – Strategies that fully maintain the extent and intactness of the forest ecosystems and

the viability of their biodiversity concentrations, including plant and animal indicator species,

keystone species, and/or guilds associated with large intact natural forest ecosystems. Ex-

amples include protection zones and set-aside areas, with any commercial activity in areas

that are not set-aside being limited to low-intensity operations that fully maintain forest struc-

ture, composition, regeneration, and disturbance patterns at all times. Where enhancement is

identified as the objective, measures to restore and reconnect forest ecosystems, their intact-

ness, and habitats that support natural biological diversity are in place.

HCV 3 – Strategies that fully maintain the extent and integrity of rare or threatened ecosys-

tems, habitats, or refugia. Where enhancement is identified as the objective, measures to

restore and/or develop rare or threatened ecosystems, habitats, or refugia are in place.

HCV 4 – Strategies to protect any water catchments of importance to local communities lo-

cated within or downstream of the Management Unit, and areas within the unit that are partic-

ularly unstable or susceptible to erosion. Examples may include protection zones, harvest

prescriptions, chemical use restrictions, and/or prescriptions for road construction and

maintenance, to protect water catchments and upstream and upslope areas. Where en-

hancement is identified as the objective, measures to restore water quality and quantity are in

place. Where identified HCV 4 ecosystem services include climate regulation, strategies to

maintain or enhance carbon sequestration and storage are in place.


85

HCV 5 – Strategies to protect the community’s and/or Indigenous Peoples’ needs in relation

to the Management Unit are developed in cooperation with representatives and members of

local communities and Indigenous Peoples.

HCV 6 – Strategies to protect the cultural values are developed in cooperation with repre-

sentatives and members of local communities and Indigenous Peoples.


86

Annex 9B Sources of information for identification of HCVs

I. Best available information:

National and provincial level conservation areas provide up-to-date information regarding

status and composition of ecosystems. This information is supported by academic institutions

and research that involves, for example, the large scale permanent plot and research net-

work.

The organization that conducts a HCV assessment, involving identification and/or status as-

sessment of HCVs, has to consider available information about species, habitats and ecosys-

tems of conservation areas nearby. The following information sources have to be consulted:

a) Provincial natural conservation area list:

http://sts.mep.gov.cn/zrbhq/zrbhq/

b) National natural conservation area list:

http://www.forestry.gov.cn/

Additionally, the organization has to consider the China Biodiversity Red List issued by the

Ministry of Environmental Protection. All species listed as CR (Critically endangered) and EN

(Endangered) have to be recognized as HCV 1 species. Currently the list covers 1880 ad-

vanced plant species and 473 vertebrate species.

c) China Biodiversity Red List - higher plant volume：


d) China Biodiversity Red List – vertebrate volume：


II. General information sources:

Biodiversity:

www.biodiversitya-z.org

Biodiversity Hotspots:

www.biodiversityhotspots.org

Centers of Plant Diversity (IUCN, WCMC):

www.unep-wcmc.org/species/sca/GSPC.htm

Convention on Wetlands of International Importance (RAMSAR):

~1900 RAMSAR sites

www.ramsar.org

http://sts.mep.gov.cn/zrbhq/zrbhq/

http://www.forestry.gov.cn/



http://www.biodiversitya-z.org/

http://www.biodiversityhotspots.org/

http://www.unep-wcmc.org/species/sca/GSPC.htm

http://www.ramsar.org/


87

Global Biodiversity Decision Support Platform:

www.ibatforbusiness.org

Important Bird Areas (IBAs):

~12,000 sites worldwide, many quite small (e.g. 314 in Australia): Birdlife International. These

do one or more of the following: (1) They hold a significant number of one or more globally

threatened species; (2) They are one of a set of sites that together hold a suite of restricted-

range species or biome-restricted species; and (3) They have exceptionally large numbers of

migratory or congregatory species. Cf. also Endemic Bird Areas, EBAs, and covering over 7

million km2.

www.birdlife.org

Intact Forest Landscapes:

These areas are very likely to have HCV 2 and likely to contain HCV 1.

www.globalforestwatch.org

www.wri.org/publication/last-frontier-forests-ecosystems-and-economies-edge

IUCN Red List of Threatened Species:

www.iucnredlist.org

UNESCO + IUCN World Heritage Sites:

(207 natural + mixed sites):

whc.unesco.org

WWF Global 200 Ecoregions:

Ecoregions are “defined as relatively large units of land or water containing a distinct assem-

blage of natural communities sharing a large majority of species, dynamics, and environmen-

tal conditions”. Ecoregions represent the original distribution of distinct assemblages of spe-

cies and communities. This concept may be helpful for resolving issues of scale, and for en-

suring a full coverage of conservation sites.

www.worldwildlife.org/science/ecoregions/g200.cfm

https://www.ibatforbusiness.org/

http://www.birdlife.org/

http://www.globalforestwatch.org/

http://www.wri.org/publication/last-frontier-forests-ecosystems-and-economies-edge

http://www.iucnredlist.org/

http://www.worldwildlife.org/science/ecoregions/g200.cfm


88

Annex 11 Guidance documents for small organizations

FSC Briefing Note1: Group Certification

https://cn.fsc.org/download-box.148.htm

FSC Briefing Note 2: Assessment of Environmental Impacts


FSC Briefing Note 3: Evaluating and Monitoring Social Impacts


FSC Briefing Note 4: High Conservation Values


FSC Briefing Note 5: Simply monitoring


FSC step-by-step guide: Good practice guide to meeting FSC certification requirements for

biodiversity and High Conservation Value Forests in Small and Low Intensity Managed For-

ests (SLIMFs)









89

FSC Glossary of Terms

This glossary includes internationally accepted definitions whenever possible. These sources

include, for instance, the Food and Agriculture Organization of the United Nations (FAO), the

Convention on Biological Diversity (1992), the Millennium Ecosystem Assessment (2005) as

well as definitions from online glossaries as provided on the websites of the World Conserva-

tion Union (IUCN), the International Labour Organization (ILO) and the Invasive Alien Species

Programme of the Convention on Biological Diversity. When other sources have been used

they are referenced accordingly.

The term ‘based on’ means that a definition was adapted from an existing definition as pro-

vided in an international source.

Words used in the International Generic Indicators, if not defined in this Glossary of Terms or

other normative FSC documents, are used as defined in the Shorter Oxford English Diction-

ary or the Concise Oxford Dictionary.

Adaptive management: A systematic process of continually improving management policies

and practices by learning from the outcomes of existing measures (Source: Based on World

Conservation Union (IUCN). Glossary definitions as provided on IUCN website).

Affected stakeholder: Any person, group of persons or entity that is or is likely to be subject

to the effects of the activities of a Management Unit. Examples include, but are not restricted

to (for example in the case of downstream landowners), persons, groups of persons or enti-

ties located in the neighborhood of the Management Unit. The following are examples of

affected stakeholders:

Local communities

Indigenous Peoples

Workers

Forest dwellers

Neighbors

Downstream landowners

Local processors

Local businesses

Tenure and use rights holders, including landowners

Organizations authorized or known to act on behalf of affected stakeholders, for example

social and environmental NGOs, labor unions, etc.

(Source: FSC-STD-01-001 V5-0).

Alien species: A species, subspecies or lower taxon, introduced outside its natural past or

present distribution; includes any part, gametes, seeds, eggs, or propagules of such species


90

that might survive and subsequently reproduce (Source: Convention on Biological Diversity

(CBD), Invasive Alien Species Programme. Glossary of Terms as provided on CBD website).

Applicable law: Means applicable to The Organization* as a legal* person or business enter-

prise in or for the benefit of the Management Unit and those laws which affect the implemen-

tation of the FSC Principles and Criteria. This includes any combination of statutory law (Par-

liamentary-approved) and case law (court interpretations), subsidiary regulations, associated

administrative procedures, and the national constitution (if present) which invariably takes

legal* precedence over all other legal* instruments (Source: FSC-STD-01-001 V5-0).

Aquifer: A formation, group of formations, or part of a formation that contains sufficient satu-

rated permeable material to yield significant quantities of water to wells and springs for that

unit to have economic value as a source of water in that region. (Source: Gratzfeld, J. 2003.

Extractive Industries in Arid and Semi-Arid Zones. World Conservation Union (IUCN)).

Best Available Information: Data, facts, documents, expert opinions, and results of field

surveys or consultations with stakeholders that are most credible, accurate, complete, and/or

pertinent and that can be obtained through reasonable* effort and cost, subject to the scale*

and intensity* of the management activities and the Precautionary Approach*.

Binding Agreement: A deal or pact, written or not, which is compulsory to its signatories and

enforceable by law. Parties involved in the agreement do so freely and accept it voluntarily.

Biological diversity: The variability among living organisms from all sources including, inter

alia, terrestrial, marine and other aquatic ecosystems and the ecological complexes of which

they are a part; this includes diversity within species, between species and of ecosystems

(Source: Convention on Biological Diversity 1992, Article 2).

Biological control agents: Organisms used to eliminate or regulate the population of other

organisms (Source: Based on FSC-STD-01-001 V4-0 and World Conservation Union (IUCN).

Glossary definitions as provided on IUCN website).

Confidential information: Private facts, data and content that, if made publicly available,

might put at risk The Organization*, its business interests or its relationships with stakehold-

ers, clients and competitors.

Conflicts between the Principles and Criteria and laws: Situations where it is not possible

to comply with the Principles and Criteria and a law at the same time (Source: FSC-STD-01-

001 V5-0).

Connectivity: A measure of how connected or spatially continuous a corridor, network, or

matrix is. The fewer gaps, the higher the connectivity. Related to the structural connectivity

concept; functional or behavioral connectivity refers to how connected an area is for a pro-

cess, such as an animal moving through different types of landscape elements. Aquatic con-

nectivity deals with the accessibility and transport of materials and organisms, through


91

groundwater and surface water, between different patches of aquatic ecosystems of all kinds.

(Source: Based on R.T.T. Forman. 1995. Land Mosaics. The Ecology of Landscapes and

Regions. Cambridge University Press, 632pp).

Conservation/Protection: These words are used interchangeably when referring to man-

agement activities designed to maintain the identified environmental or cultural values in ex-

istence long-term. Management activities may range from zero or minimal interventions to a

specified range of appropriate interventions and activities designed to maintain, or compatible

with maintaining, these identified values (Source: FSC-STD-01-001 V5-0).

Conservation Areas Network: Those portions of the Management Unit* for which conserva-

tion is the primary and, in some circumstances, exclusive objective; such areas include repre-

sentative sample areas*, conservation zones*, protection areas*, connectivity* areas and

High Conservation Value Areas*.

Conservation zones and protection areas: Defined areas that are designated and man-

aged primarily to safeguard species, habitats, ecosystems, natural features or other site-

specific values because of their natural environmental or cultural values, or for purposes of

monitoring, evaluation or research, not necessarily excluding other management activities.

For the purposes of the Principles and Criteria, these terms are used interchangeably, without

implying that one always has a higher degree of conservation or protection than the other.

The term ‘protected area’ is not used for these areas, because this term implies legal* or offi-

cial status, covered by national regulations in many countries. In the context of the Principles

and Criteria, management of these areas should involve active conservation, not passive

protection’ (Source: FSC-STD-01-001 V5-0).

Critical: The concept of criticality or fundamentality in Principal 9 and HCVs relates to irre-

placeability and to cases where loss or major damage to this HCV would cause serious preju-

dice or suffering to affected stakeholders. An ecosystem service is considered to be critical

(HCV 4) where a disruption of that service is likely to cause, or poses a threat of, severe neg-

ative impacts on the welfare, health or survival of local communities, on the environment, on

HCVs, or on the functioning of significant infrastructure (roads, dams, buildings etc.). The

notion of criticality here refers to the importance and risk for natural resources and environ-

mental and socio-economic values (Source: FSC-STD-01-001 V5-0).

Criterion (pl. Criteria): A means of judging whether or not a Principle (of forest stewardship)

has been fulfilled (Source: FSC-STD-01-001 V4-0).

Culturally appropriate [mechanisms]: Means/approaches for outreach to target groups that

are in harmony with the customs, values, sensitivities, and ways of life of the target audience.

Customary law: Interrelated sets of customary rights may be recognized as customary law.

In some jurisdictions, customary law is equivalent to statutory law, within its defined area of


92

competence and may replace the statutory law for defined ethnic or other social groups. In

some jurisdictions customary law complements statutory law and is applied in specified cir-

cumstances (Source: Based on N.L. Peluso and P. Vandergeest. 2001. Genealogies of the

political forest and customary rights in Indonesia, Malaysia and Thailand, Journal of Asian

Studies 60(3):761–812).

Customary rights: Rights which result from a long series of habitual or customary actions,

constantly repeated, which have, by such repetition and by uninterrupted acquiescence, ac-

quired the force of a law within a geographical or sociological unit (Source: FSC-STD-01-001

V4-0).

Dispute: for the purpose of the IGI, this is an expression of dissatisfaction by any person or

organization presented as a complaint to The Organization*, relating to its management ac-

tivities or its conformity with the FSC Principles and Criteria, where a response is expected

(Source: based on FSC-PRO-01-005 V3-0 Processing Appeals).

Dispute of substantial duration: Dispute* that continues for more than twice as long as the

predefined timelines in the FSC System (this is, for more than 6 months after receiving the

complaint, based on FSC-STD-20-001).

Dispute of substantial magnitude: For the purpose of the International Generic Indicators, a

dispute* of substantial magnitude is a dispute* that involves one or more of the following:

Affects the legal* or customary rights* of Indigenous Peoples* and local communities*;

Where the negative impact of management activities is of such a scale that it cannot be

reversed or mitigated;

Physical violence;

Destruction of property;

Presence of military bodies;

Acts of intimidation against forest* workers* and stakeholders*.

This list should be adapted or expanded by Standard Developers.

Economic viability: The capability of developing and surviving as a relatively independent

social, economic or political unit. Economic viability may require but is not synonymous with

profitability (Source: Based on the definition provided on the website of the European Envi-

ronment Agency).

Ecosystem: A dynamic complex of plant, animal and micro-organism communities and their

non-living environment interacting as a functional unit (Source: Convention on Biological Di-

versity 1992, Article 2).

Ecosystem function: An intrinsic ecosystem characteristic related to the set of conditions

and processes whereby an ecosystem maintains its integrity (such as primary productivity,


93

food chain, biogeochemical cycles). Ecosystem functions include such processes as decom-

position, production, nutrient cycling, and fluxes of nutrients and energy. For FSC purposes,

this definition includes ecological and evolutionary processes such as gene flow and disturb-

ance regimes, regeneration cycles and ecological seral development (succession) stages.

(Source: Based on R. Hassan, R. Scholes and N. Ash. 2005. Ecosystems and Human Well-

being: Synthesis. The Millennium Ecosystem Assessment Series. Island Press, Washington

DC; and R.F. Noss. 1990. Indicators for monitoring biodiversity: a hierarchical approach.

Conservation Biology 4(4):355–364).

Ecosystem services: The benefits people obtain from ecosystems. These include:

provisioning services such as food, forest products and water;

regulating services such as regulation of floods, drought, land degradation, air quality,

climate and disease;

supporting services such as soil formation and nutrient cycling; and

cultural services and cultural values such as recreational, spiritual, religious and other non-

material benefits.

(Source: Based on R. Hassan, R. Scholes and N. Ash. 2005. Ecosystems and Human Well-

being: Synthesis. The Millennium Ecosystem Assessment Series. Island Press, Washington

DC).

Engaging / engagement: The process by which The Organization communicates, consults

and/or provides for the participation of interested and/or affected stakeholders ensuring that

their concerns, desires, expectations, needs, rights and opportunities are considered in the

establishment, implementation and updating of the management plan* (Source: FSC-STD-01-

001 V5-0).

Environmental Impact Assessment (EIA): Systematic process used to identify potential

environmental and social impacts of proposed projects, to evaluate alternative approaches,

and to design and incorporate appropriate prevention, mitigation, management and monitor-

ing measures (Source: based on Environmental impact assessment, guidelines for FAO field

projects. Food and agriculture organization of the United Nations (FAO). Rome,-STD-01-001

V5-0).

Environmental values: The following set of elements of the biophysical and human environ-

ment:

ecosystem functions (including carbon sequestration and storage);

biological diversity;

water resources;

soils;

atmosphere;


94

landscape values (including cultural and spiritual values).

The actual worth attributed to these elements depends on human and societal perceptions


Externalities: The positive and negative impacts of activities on stakeholders that are not

directly involved in those activities, or on a natural resource or the environment, which do not

usually enter standard cost accounting systems, such that the market prices of the products

of those activities do not reflect the full costs or benefits (Source: FSC-STD-01-001 V5-0).

Fair compensation: Remuneration that is proportionate to the magnitude and type of ser-

vices rendered by another party or of the harm that is attributable to the first party.

Fertilizer: Mineral or organic substances, most commonly N, P2O5 and K20, which are ap-

plied to soil for the purpose of enhancing plant growth.

Focal species: Species whose requirements for persistence define the attributes that must

be present if that landscape is to meet the requirements of the species that occur there

(Source: Lambeck, R., J. 1997. Focal Species: A multi-species Umbrella for Nature Conser-

vation. Conservation Biology vol 11 (4): 849-856.).

Forest: A tract of land dominated by trees (Source: FSC-STD-01-001 V5-0. Derived from

FSC Guidelines for Certification Bodies, Scope of Forest Certification, Section 2.1 first pub-

lished in 1998, and revised as FSC-GUI-20-200 in 2005, and revised again in 2010 as FSC-

DIR-20-007 FSC Directive on Forest Management Evaluations, ADVICE-20-007-01).

Formal and informal workers organization: association or union of workers*, whether rec-

ognized by law or by The Organization* or neither, which have the aim of promoting workers*

rights and to represent workers* in dealings with The Organization* particularly regarding

working conditions and compensation.

Free, Prior, and Informed Consent (FPIC): A legal* condition whereby a person or commu-

nity can be said to have given consent to an action prior to its commencement, based upon a

clear appreciation and understanding of the facts, implications and future consequences of

that action, and the possession of all relevant facts at the time when consent is given. Free,

prior and informed consent includes the right to grant, modify, withhold or withdraw approval

(Source: Based on the Preliminary working paper on the principle of Free, Prior and Informed

Consent of Indigenous Peoples (…) (E/CN.4/Sub.2/AC.4/2004/4 8 July 2004) of the 22nd

Session of the United Nations Commission on Human Rights, Sub-commission on the Promo-

tion and Protection of Human Rights, Working Group on Indigenous Populations, 19–23 July

2004).

Gender equality: Gender equality or gender equity means that women and men have equal

conditions for realizing their full human rights and for contributing to, and benefiting from,

economic, social, cultural and political development (Source: Adapted from FAO, IFAD and


95

ILO workshop on ‘Gaps, trends and current research in gender dimensions of agricultural and

rural employment: differentiated pathways out of poverty’, Rome, 31 March to 2 April 2009.).

Genetically modified organism: An organism in which the genetic material has been altered

in a way that does not occur naturally by mating and/or natural recombination. (Source:

Based on FSC-POL-30-602 FSC Interpretation on GMO (Genetically Modified Organisms)).

Genotype: The genetic constitution of an organism (Source: FSC-STD-01-001 V5-0).

Grassland: Land covered with herbaceous plants with less than 10% tree and shrub cover

(Source: UNEP, cited in FAO. 2002. Second Expert Meeting on Harmonizing Forest-Related

Definitions for use by various stakeholders).

Habitat: The place or type of site where an organism or population occurs (Source: Based on

the Convention on Biological Diversity, Article 2).

Habitat features: Forest* stand attributes and structures, including but not limited to:

Old commercial and non-commercial trees whose age noticeably exceeds the average

age of the main canopy;

Trees with special ecological value;

Vertical and horizontal complexity;

Standing dead trees;

Dead fallen wood;

Forest openings attributable to natural disturbances;

Nesting sites;

Small wetlands, bogs, fens;

Ponds;

Areas for procreation;

Areas for feeding and shelter, including seasonal cycles of breeding;

Areas for migration;

Areas for hibernation.

High Conservation Value (HCV): Any of the following values:

HCV1: Species Diversity. Concentrations of biological diversity* including endemic species,

and rare, threatened or endangered* species, that are significant at global, regional or nation-

al levels.

HCV 2: Landscape-level ecosystems and mosaics. Intact Forest Landscapes, large land-

scape-level ecosystems* and ecosystem mosaics that are significant at global, regional or

national levels, and that contain viable populations of the great majority of the naturally occur-

ring species in natural patterns of distribution and abundance.

HCV 3: Ecosystems and habitats. Rare, threatened, or endangered ecosystems, habitats* or


96

refugia*.

HCV 4: Critical ecosystem services. Basic ecosystem services* in critical situations, including

protection of water catchments and control of erosion of vulnerable soils and slopes.

HCV 5: Community needs. Sites and resources fundamental for satisfying the basic necessi-

ties of local communities or Indigenous Peoples* (for example for livelihoods, health, nutrition,

water), identified through engagement with these communities or Indigenous Peoples*.

HCV 6: Cultural values. Sites, resources, habitats and landscapes* of global or national cul-

tural, archaeological or historical significance, and/or of critical cultural, ecological, economic

or religious/sacred importance for the traditional cultures of local communities or Indigenous

Peoples*, identified through engagement with these local communities or Indigenous Peo-

ples*.

(Source: based on FSC-STD-01-001 V5-0).

High Conservation Value Areas: Zones and physical spaces which possess and/or are

needed for the existence and maintenance of identified High Conservation Values*.

High grading: High grading is a tree removal practice in which only the best quality, most

valuable timber trees are removed, often without regenerating new tree seedlings or removing

the remaining poor quality and suppressed understory trees and, in doing so, degrading the

ecological health and commercial value of the forest. High grading stands as a counterpoint to

sustainable resource management (Source: based on Glossary of Forest Management

Terms. North Carolina Division of Forest Resources. March 2009).

Indicator: A quantitative or qualitative variable which can be measured or described, and

which provides a means of judging whether a Management Unit* complies with the require-

ments of an FSC Criterion. Indicators and the associated thresholds thereby define the re-

quirements for responsible forest management at the level of the Management Unit* and are

the primary basis of forest evaluation (Source: FSC-STD-01-002 V1-0 FSC Glossary of

Terms (2009)).

Indigenous Peoples: People and groups of people that can be identified or characterized as

follows:

The key characteristic or Criterion is self-identification as Indigenous Peoples at the indi-

vidual level and acceptance by the community as their member;

Historical continuity with pre-colonial and/or pre-settler societies;

Strong link to territories and surrounding natural resources;

Distinct social, economic or political systems;

Distinct language, culture and beliefs;

Form non-dominant groups of society;

Resolve to maintain and reproduce their ancestral environments and systems as distinc-

tive peoples and communities.


97

(Source: Adapted from United Nations Permanent Forum on Indigenous, Factsheet ‘Who

are Indigenous Peoples’ October 2007; United Nations Development Group, ‘Guidelines

on Indigenous Peoples’ Issues’ United Nations 2009, United Nations Declaration on the

Rights of Indigenous Peoples, 13 September 2007).

Infrastructure: In the context of forest management, roads, bridges, culverts, log landings,

quarries, impoundments, buildings and other structures required in the course of implement-

ing the management plan*.

Intact Forest Landscape: a territory within today's global extent of forest cover which con-

tains forest and non-forest ecosystems minimally influenced by human economic activity, with

an area of at least 500 km2 (50,000 ha) and a minimal width of 10 km (measured as the di-

ameter of a circle that is entirely inscribed within the boundaries of the territory) (Source: In-

tact Forests / Global Forest Watch. Glossary definition as provided on Intact Forest website.

2006-2014).

Intellectual property: Practices as well as knowledge, innovations and other creations of the

mind (Source: Based on the Convention on Biological Diversity, Article 8(j); and World Intel-

lectual Property Organization. What is Intellectual Property? WIPO Publication No. 450(E)).

Intensity: A measure of the force, severity or strength of a management activity or other oc-

currence affecting the nature of the activity’s impacts (Source: FSC-STD-01-001 V5-0).

Interested stakeholder: Any person, group of persons, or entity that has shown an interest,

or is known to have an interest, in the activities of a Management Unit. The following are

examples of interested stakeholders.

Conservation organizations, for example environmental NGOs;

Labor (rights) organizations, for example labor unions;

Human rights organizations, for example social NGOs;

Local development projects;

Local governments;

National government departments functioning in the region;

FSC National Offices;

Experts on particular issues, for example High Conservation Values.

(Source: FSC-STD-01-001 V5-0)

Internationally accepted scientific protocol: A predefined science-based procedure which

is either published by an international scientific network or union, or referenced frequently in

the international scientific literature (Source: FSC-STD-01-001 V5-0).

Invasive species: Species that are rapidly expanding outside of their native range. Invasive

species can alter ecological relationships among native species and can affect ecosystem

function and human health (Source: Based on World Conservation Union (IUCN). Glossary


98

definitions as provided on IUCN website).

Lands and territories: For the purposes of the Principles and Criteria these are lands or

territories that Indigenous Peoples or local communities have traditionally owned, or custom-

arily used or occupied, and where access to natural resources is vital to the sustainability of

their cultures and livelihoods (Source: Based on World Bank safeguard OP 4.10 Indigenous

Peoples, section 16 (a). July 2005.).

Landscape: A geographical mosaic composed of interacting ecosystems resulting from the

influence of geological, topographical, soil, climatic, biotic and human interactions in a given

area (Source: Based on World Conservation Union (IUCN). Glossary definitions as provided

on IUCN website).

Landscape values: Landscape values can be visualized as layers of human perceptions

overlaid on the physical landscape. Some landscape values, like economic, recreation, sub-

sistence value or visual quality are closely related to physical landscape attributes. Other

landscape values such as intrinsic or spiritual value are more symbolic in character and are

influenced more by individual perception or social construction than physical landscape attrib-

utes (Source: Based on website of the Landscape Value Institute).

Legal: In accordance with primary legislation (national or local laws) or secondary legislation

(subsidiary regulations, decrees, orders, etc.). ‘Legal’ also includes rule-based decisions

made by legally competent agencies where such decisions flow directly and logically from the

laws and regulations. Decisions made by legally competent agencies may not be legal if they

do not flow directly and logically from the laws and regulations and if they are not rule-based

but use administrative discretion (Source: FSC-STD-01-001 V5-0).

Legally competent: Mandated in law to perform a certain function (Source: FSC-STD-01-001

V5-0).

Legal registration: National or local legal* license or set of permissions to operate as an

enterprise, with rights to buy and sell products and/or services commercially. The license or

permissions can apply to an individual, a privately-owned enterprise or a publicly-owned cor-

porate entity. The rights to buy and sell products and/or services do not carry the obligation to

do so, so legal* registration applies also to Organizations operating a Management Unit with-

out sales of products or services; for example, for unpriced recreation or for conservation of

biodiversity or habitat (Source: FSC-STD-01-001 V5-0).

Legal status: The way in which the Management Unit is classified according to law. In terms

of tenure, it means the category of tenure, such as communal land or leasehold or freehold or

State land or government land, etc. If the Management Unit is being converted from one cat-

egory to another (for example, from State land to communal indigenous land) the status in-

cludes the current position in the transition process. In terms of administration, legal status


99

could mean that the land is owned by the nation as a whole, is administered on behalf of the

nation by a government department, and is leased by a government Ministry to a private sec-

tor operator through a concession (Source: FSC-STD-01-001 V5-0).

Living wage: The remuneration received for a standard work week by a worker in a particular

place sufficient to afford a decent standard of living for the worker and her or his family. Ele-

ments of a decent standard of living include food, water, housing, education, health care,

transport, clothing, and other essential needs including provision for unexpected events

(Source: A Shared Approach to a Living Wage. ISEAL Living Wage Group. November 2013).

Local communities: Communities of any size that are in or adjacent to the Management

Unit, and also those that are close enough to have a significant impact on the economy or the

environmental values of the Management Unit or to have their economies, rights or environ-

ments significantly affected by the management activities or the biophysical aspects of the

Management Unit (Source: FSC-STD-01-001 V5-0).

Local laws: The whole suite of primary and secondary laws (acts, ordinances, statutes, de-

crees) which is limited in application to a particular geographic district within a national territo-

ry, as well as secondary regulations, and tertiary administrative procedures (rules / require-

ments) that derive their authority directly and explicitly from these primary and secondary

laws. Laws derive authority ultimately from the Westphalian concept of sovereignty of the

Nation State (Source: FSC-STD-01-001 V5-0).

Long-term: The time-scale of the forest owner or manager as manifested by the objectives of

the management plan*, the rate of harvesting, and the commitment to maintain permanent

forest cover. The length of time involved will vary according to the context and ecological

conditions, and will be a function of how long it takes a given ecosystem to recover its natural

structure and composition following harvesting or disturbance, or to produce mature or prima-

ry conditions (Source: FSC-STD-01-002 V1-0 FSC Glossary of Terms (2009)).

Management objective: Specific management goals, practices, outcomes, and approaches

established to achieve the requirements of this standard.

Management plan: The collection of documents, reports, records and maps that describe,

justify and regulate the activities carried out by any manager, staff or organization within or in

relation to the Management Unit, including statements of objectives and policies (Source:

FSC-STD-01-001 V5-0).

Management plan monitoring: Follow up and oversight procedures for the purpose of eval-

uating the achievement of the management objectives*. The results of the monitoring activi-

ties are utilized in the implementation of adaptive management*.

Management Unit: A spatial area or areas submitted for FSC certification with clearly defined

boundaries managed to a set of explicit long term management objectives which are ex-


100

pressed in a management plan*. This area or areas include(s):

all facilities and area(s) within or adjacent to this spatial area or areas under legal* title or

management control of, or operated by or on behalf of The Organization, for the purpose

of contributing to the management objectives; and

all facilities and area(s) outside, and not adjacent to this spatial area or areas and oper-

ated by or on behalf of The Organization*, solely for the purpose of contributing to the

management objectives.


Managerial control: Responsibility of the kind defined for corporate directors of commercial

enterprises in national commercial law, and treated by FSC as applicable also to public sector

organizations (Source: FSC-STD-01-001 V5-0).

National laws: The whole suite of primary and secondary laws (acts, ordinances, statutes,

decrees), which is applicable to a national territory, as well as secondary regulations, and

tertiary administrative procedures (rules / requirements) that derive their authority directly and

explicitly from these primary and secondary laws (Source: FSC-STD-01-001 V5-0).

Native species: Species, subspecies, or lower taxon, occurring within its natural range (past

or present) and dispersal potential (that is, within the range it occupies naturally or could oc-

cupy without direct or indirect introduction or care by humans) (Source: Convention on Biolog-

ical Diversity (CBD). Invasive Alien Species Programme. Glossary of Terms as provided on

CBD website).

Natural conditions/native ecosystem: For the purposes of the Principles and Criteria and

any applications of restoration techniques, terms such as ‘more natural conditions’, ‘native

ecosystem’ provide for managing sites to favor or restore native species and associations of

native species that are typical of the locality, and for managing these associations and other

environmental values so that they form ecosystems typical of the locality. Further guidelines

may be provided in FSC Forest Stewardship Standards (Source: FSC-STD-01-001 V5-0).

Natural forest: A forest area with many of the principal characteristics and key elements of

native ecosystems, such as complexity, structure and biological diversity, including soil char-

acteristics, flora and fauna, in which all or almost all the trees are native species, not classi-

fied as plantations.

‘Natural forest’ includes the following categories:

Forest affected by harvesting or other disturbances, in which trees are being or have

been regenerated by a combination of natural and artificial regeneration with species typ-

ical of natural forests in that site, and where many of the above-ground and below-

ground characteristics of the natural forest are still present. In boreal and north temper-

ate forests which are naturally composed of only one or few tree species, a combination


101

of natural and artificial regeneration to regenerate forest of the same native species, with

most of the principal characteristics and key elements of native ecosystems of that site,

is not by itself considered as conversion to plantations;

Natural forests which are maintained by traditional silvicultural practices including natural

or assisted natural regeneration;

Well-developed secondary or colonizing forest of native species which has regenerated

in non-forest areas;

The definition of ‘natural forest’ may include areas described as wooded ecosystems,

woodland and savannah.

The description of natural forests and their principal characteristics and key elements may be

further defined in FSC Forest Stewardship Standards, with appropriate descriptions or exam-

ples.

‘Natural forest’ does not include land which is not dominated by trees, was previously not

forest, and which does not yet contain many of the characteristics and elements of native

ecosystems. Young regeneration may be considered as natural forest after some years of

ecological progression. FSC Forest Stewardship Standards may indicate when such areas

may be excised from the Management Unit, should be restored towards more natural condi-

tions, or may be converted to other land uses.

FSC has not developed quantitative thresholds between different categories of forests in

terms of area, density, height, etc. FSC Forest Stewardship Standards may provide such

thresholds and other guidelines, with appropriate descriptions or examples. Pending such

guidance, areas dominated by trees, mainly of native species, may be considered as natural

forest.

Thresholds and guidelines may cover areas such as:

Other vegetation types and non-forest communities and ecosystems included in the Man-

agement Unit, including grassland, bushland, wetlands, and open woodlands;

Very young pioneer or colonizing regeneration in a primary succession on new open sites

or abandoned farmland, which does not yet contain many of the principal characteristics

and key elements of native ecosystems. This may be considered as natural forest through

ecological progression after the passage of years;

Young natural regeneration growing in natural forest areas may be considered as natural

forest, even after logging, clear-felling or other disturbances, since many of the principal

characteristics and key elements of native ecosystems remain, above-ground and below-

ground;

Areas where deforestation and forest degradation have been so severe that they are no

longer ‘dominated by trees’ may be considered as non-forest, when they have very few of

the principal above-ground and below-ground characteristics and key elements of natural


102

forests. Such extreme degradation is typically the result of combinations of repeated and

excessively heavy logging, grazing, farming, fuelwood collection, hunting, fire, erosion,

mining, settlements, infrastructure, etc. FSC Forest Stewardship Standards may help to

decide when such areas should be excised from the Management Unit, should be restored

towards more natural conditions, or may be converted to other land uses.


Natural Hazards: disturbances that can present risks to social and environmental values* in

the Management Unit* but that may also comprise important ecosystem functions; examples

include drought, flood, fire, landslide, storm, avalanche, etc.

Non-timber forest products (NTFP): All products other than timber derived from the Man-

agement Unit (Source: FSC-STD-01-001 V5-0).

Objective: The basic purpose laid down by The Organization* for the forest enterprise, in-

cluding the decision of policy and the choice of means for attaining the purpose (Source:

Based on F.C. Osmaston. 1968. The Management of Forests. Hafner, New York; and D.R.

Johnston, A.J. Grayson and R.T. Bradley. 1967. Forest Planning. Faber & Faber, London).

Obligatory code of practice: A manual or handbook or other source of technical instruction

which The Organization must implement by law (Source: FSC-STD-01-001 V5-0).

Occupational accident: An occurrence arising out of, or in the course of, work which results

in fatal or non-fatal injury (Source: International Labour Organization (ILO). Bureau of Library

and Information Services. ILO Thesaurus as provided on ILO website).

Occupational disease: Any disease contracted as a result of an exposure to risk factors

arising from work activity (Source: International Labour Organization (ILO). Bureau of Library

and Information Services. ILO Thesaurus as provided on ILO website).

Occupational injuries: Any personal injury, disease or death resulting from an occupational

accident (Source: International Labour Organization (ILO). Bureau of Library and Information

Services. ILO Thesaurus as provided on ILO website).

Organism: Any biological entity capable of replication or of transferring genetic material

(Source: Council Directive 90/220/EEC).

The Organization: The person or entity holding or applying for certification and therefore

responsible for demonstrating compliance with the requirements upon which FSC certification

is based (Source: FSC-STD-01-001 V5-0).

Peatland: Is constituted by flooded and soggy areas, with large accumulations of organic

material, covered by a layer of poor vegetation associated with a certain degree of acidity,

and which presents a characteristic amber color (Source: Aguilar, L. 2001. About Fishermen,

Fisherwomen, Oceans and tides. IUCN. San Jose (Costa Rica)).


103

Pesticide: Any substance or preparation prepared or used in protecting plants or wood or

other plant products from pests; in controlling pests; or in rendering such pests harmless. This

definition includes insecticides, rodenticides, acaricides, molluscicides, larvaecides, fungi-

cides and herbicides (Source: FSC-POL-30-001 FSC Pesticides Policy (2005).

Plantation: A forest area established by planting or sowing with using either alien or native

species, often with one or few species, regular spacing and even ages, and which lacks most

of the principal characteristics and key elements of natural forests. The description of planta-

tions may be further defined in FSC Forest Stewardship Standards, with appropriate descrip-

tions or examples, such as:

Areas which would initially have complied with this definition of ‘plantation’ but which, after

the passage of years, contain many or most of the principal characteristics and key ele-

ments of native ecosystems, may be classified as natural forests.

Plantations managed to restore and enhance biological and habitat diversity, structural

complexity and ecosystem functionality may, after the passage of years, be classified as

natural forests.

Boreal and north temperate forests which are naturally composed of only one or few tree

species, in which a combination of natural and artificial regeneration is used to regenerate

forest of the same native species, with most of the principal characteristics and key ele-

ments of native ecosystems of that site, may be considered as natural forest, and this re-

generation is not by itself considered as conversion to plantations.

(Source: FSC-STD-01-001 V5-0)

Precautionary approach: An approach requiring that when the available information indi-

cates that management activities pose a threat of severe or irreversible damage to the envi-

ronment or a threat to human welfare, The Organization* will take explicit and effective

measures to prevent the damage and avoid the risks to welfare, even when the scientific in-

formation is incomplete or inconclusive, and when the vulnerability and sensitivity of environ-

mental values are uncertain (Source: Based on Principle 15 of Rio Declaration on Environ-

ment and Development, 1992, and Wingspread Statement on the Precautionary Principle of

the Wingspread Conference, 23–25 January 1998).

Pre-harvest [condition]: The diversity, composition, and structure of the forest* or plantation

prior to felling timber and appurtenant activities such as road building.

Principle: An essential rule or element; in FSC’s case, of forest stewardship (Source: FSC-

STD-01-001 V4-0).

Protection: See definition of Conservation.

Protection Area: See definition of Conservation Zone.

Publicly available: In a manner accessible to or observable by people generally (Source:


104

Collins English Dictionary, 2003 Edition).

Rare species: Species that are uncommon or scarce, but not classified as threatened.

These species are located in geographically restricted areas or specific habitats, or are

scantily scattered on a large scale. They are approximately equivalent to the IUCN (2001)

category of Near Threatened (NT), including species that are close to qualifying for, or are

likely to qualify for, a threatened category in the near future. They are also approximately

equivalent to imperiled species (Source: Based on IUCN. (2001). IUCN Red List Categories

and Criteria: Version 3.1. IUCN Species Survival Commission. IUCN. Gland, Switzerland and

Cambridge, UK).

Ratified: The process by which an international law, convention or agreement (including mul-

tilateral environmental agreement) is legally approved by a national legislature or equivalent

legal* mechanism, such that the international law, convention or agreement becomes auto-

matically part of national law or sets in motion the development of national law to give the

same legal* effect (Source: FSC-STD-01-001 V5-0).

Reasonable: Judged to be fair or appropriate to the circumstances or purposes, based on

general experience (Source: Shorter Oxford English Dictionary).

Reduced impact harvesting: Harvesting (or logging) using techniques to reduce the impact

on the residual stand (Source: Based on Guidelines for the Conservation and Sustainable

Use of Biodiversity in Tropical Timber Production Forests, IUCN 2006).

Refugia: An isolated area where extensive changes, typically due to changing climate or by

disturbances such as those caused by humans, have not occurred and where plants and

animals typical of a region may survive (Source: Glen Canyon Dam, Adaptive Management

Program Glossary as provided on website of Glen Canyon Dam website).

Representative Sample Areas: Portions of the Management Unit* delineated for the purpose

of conserving or restoring viable examples of an ecosystem that would naturally occur in that

geographical region.

Resilience: The ability of a system to maintain key functions and processes in the face of

stresses or pressures by either resisting or adapting to change. Resilience can be applied to

both ecological systems and social systems (Source: IUCN World Commission on Protected

Areas (IUCN-WCPA). 2008. Establishing Marine Protected Area Networks – Making it Hap-

pen. Washington D.C.: IUCN-WCPA National Oceanic and Atmospheric Administration and

The Nature Conservancy.).

Restore / Restoration: These words are used in different senses according to the context

and in everyday speech. In some cases ‘restore’ means to repair the damage done to envi-

ronmental values that resulted from management activities or other causes. In other cases

‘restore’ means the formation of more natural conditions in sites which have been heavily


105

degraded or converted to other land uses. In the Principles and Criteria, the word ‘restore’ is

not used to imply the recreation of any particular previous, pre-historic, pre-industrial or other

pre-existing ecosystem (Source: FSC-STD-01-001 V5-0).

The Organization* is not necessarily obliged to restore those environmental values that have

been affected by factors beyond the control of The Organization, for example by natural dis-

asters, by climate change, or by the legally authorized activities of third parties, such as public

infrastructure, mining, hunting or settlement. FSC-POL-20-003 The Excision of Areas from the

Scope of Certification describes the processes by which such areas may be excised from the

area certified, when appropriate.

The Organization is also not obliged to restore environmental values that may have existed at

some time in the historic or pre-historic past, or that have been negatively affected by previ-

ous owners or organizations. However, The Organization is expected to take reasonable

measures to mitigate, control and prevent environmental degradation which is continuing in

the Management Unit as a result of such previous impacts.

Riparian zone: Interface between land and a water body, and the vegetation associated with

it.

Risk: The probability of an unacceptable negative impact arising from any activity in the Man-

agement Unit combined with its seriousness in terms of consequences (Source: FSC-STD-

01-001 V5-0).

Scale: A measure of the extent to which a management activity or event affects an environ-

mental value or a management unit, in time or space. An activity with a small or low spatial

scale affects only a small proportion of the forest each year, an activity with a small or low

temporal scale occurs only at long intervals (Source: FSC-STD-01-001 V5-0).

Scale, intensity and risk: See individual definitions of the terms ‘scale’, ‘intensity’, and ‘risk’.

Significant: For the purposes of Principle 9, HCVs 1, 2 and 6 there are three main forms of

recognizing significance.

A designation, classification or recognized conservation status, assigned by an interna-

tional agency such as IUCN or Birdlife International;

A designation by national or regional authorities, or by a responsible national conserva-

tion organization, on the basis of its concentration of biodiversity;

A voluntary recognition by the manager, owner or Organization, on the basis of availa-

ble information, or of the known or suspected presence of a significant biodiversity con-

centration, even when not officially designated by other agencies.

Any one of these forms will justify designation as HCVs 1, 2 and 6. Many regions of the world

have received recognition for their biodiversity importance, measured in many different ways.


106

Existing maps and classifications of priority areas for biodiversity conservation play an essen-

tial role in identifying the potential presence of HCVs 1, 2 and 6 (Source: FSC-STD-01-001

V5-0).

Silviculture: The art and science of controlling the establishment, growth, composition, health

and quality of forests and woodlands to meet the targeted diverse needs and values of land-

owners and society on a sustainable basis (Source: Nieuwenhuis, M. 2000. Terminology of

Forest Management. IUFRO World Series Vol. 9. IUFRO 4.04.07 SilvaPlan and SilvaVoc).

Stakeholder: See definitions for ‘affected stakeholder’ and ‘interested stakeholder’.

Statutory law or statute law: The body of law contained in Acts of Parliament (national legis-

lature) (Source: Oxford Dictionary of Law).

Tenure: Socially defined agreements held by individuals or groups, recognized by legal* stat-

utes or customary practice, regarding the ‘bundle of rights and duties’ of ownership, holding,

access and/or usage of a particular land unit or the associated resources there within (such

as individual trees, plant species, water, minerals, etc.) (Source: World Conservation Union

(IUCN). Glossary definitions provided on IUCN website).

Threat: An indication or warning of impending or likely damage or negative impacts (Source:

Based on Oxford English Dictionary).

Threatened species: Species that meet the IUCN (2001) criteria for Vulnerable (VU), En-

dangered (EN) or Critically Endangered (CR), and are facing a high, very high or extremely

high risk of extinction in the wild. These categories may be re-interpreted for FSC purposes

according to official national classifications (which have legal* significance) and to local condi-

tions and population densities (which should affect decisions about appropriate conservation

measures) (Source: Based on IUCN. (2001). IUCN Red List Categories and Criteria: Version

3.1. IUCN Species Survival Commission. IUCN. Gland, Switzerland and Cambridge, UK.).

Timber harvesting level: The actual harvest quantity executed on the Management Unit*,

tracked by either volume (e.g. cubic meters or board feet) or area (e.g. hectares or acres)

metrics for the purpose of comparison with calculated (maximum) allowable harvest levels.

Timely manner: As promptly as circumstances reasonably allow; not intentionally postponed

by The Organization*; in compliance with applicable laws, contracts, licenses or invoices.

Traditional Knowledge: Information, know-how, skills and practices that are developed, sus-

tained and passed on from generation to generation within a community, often forming part of

its cultural or spiritual identity (Source: based on the definition by the World Intellectual Prop-

erty Organization (WIPO). Glossary definition as provided under Policy / Traditional

Knowledge on the WIPO website).

Traditional peoples: Traditional peoples are social groups or peoples who do not self-identify


107

as indigenous and who affirm rights to their lands, forests and other resources based on long

established custom or traditional occupation and use (Source: Forest Peoples Programme

(Marcus Colchester, 7 October 2009)).

Uphold: To acknowledge, respect, sustain and support (Source: FSC-STD-01-001 V5-0).

Use rights: Rights for the use of resources of the Management Unit that can be defined by

local custom, mutual agreements, or prescribed by other entities holding access rights. These

rights may restrict the use of particular resources to specific levels of consumption or particu-

lar harvesting techniques (Source: FSC-STD-01-001 V5-0).

Verifiable targets: Specific goals, such as desired future forest conditions, established to

measure progress towards the achievement of each of the management objectives*. These

goals are expressed as clear outcomes, such that their attainment can be verified and it is

possible to determine whether they have been accomplished or not.

Very Limited portion: The area affected shall* not exceed 0.5% of the area of the Manage-

ment Unit* in any one year, nor affect a total of more than 5% of the area of the Management

Unit* (Source: based on FSC-STD-01-002 V1-0 FSC Glossary of Terms (2009)).

Waste materials: unusable or unwanted substances or by-products, such as:

Hazardous waste, including chemical waste and batteries;

Containers;

Motor and other fuels and oils;

Rubbish including metals, plastics and paper; and

Abandoned buildings, machinery and equipment.

Water bodies (including water courses): Seasonal, temporary, and permanent brooks,

creeks, streams, rivers, ponds, and lakes. Water bodies include riparian or wetland systems,

lakes, swamps, bogs and springs.

Water scarcity: A water supply that limits food production, human health, and economic de-

velopment. Severe scarcity is taken to be equivalent to 1,000 cubic meters per year per per-

son or greater than 40% use relative to supply (Source: Millennium Ecosystem Assessment.

2005. Ecosystems and Human Well-Being: Policy Responses. Findings of the Responses

Working Group. Washington DC: Island Press, Pages 599-605).

Water stress: Occurs when the demand for water exceeds the available amount during a

certain period or when poor quality restricts its use. Water stress causes deterioration of

freshwater resources in terms of quantity (aquifer over-exploitation, dry rivers, etc.) and quali-

ty (eutrophication, organic matter pollution, saline intrusion, etc.) (Source: UNEP, 2003, cited

in Gold Standard Foundation. 2014. Water Benefits Standard).

Wetlands: Transitional areas between terrestrial and aquatic systems in which the water ta-


108

ble is usually at or near the surface or the land is covered by shallow water (Source: Coward-

ing, L.M., Carter, V., Golet, F.C., Laroe, E.T. 1979. Classification of Wetlands and Deepwater

Habitats of the United States. DC US Department: Washington).

Under the Ramsar Convention, wetlands can include tidal mudflats, natural ponds, marshes,

potholes, wet meadows, bogs, peatlands, freshwater swamps, mangroves, lakes, rivers and

even some coral reefs (Source: IUCN, No Date, IUCN Definitions – English).

Workers: All employed persons including public employees as well as ‘self-employed’ per-

sons. This includes part-time and seasonal employees, of all ranks and categories, including

laborers, administrators, supervisors, executives, contractor employees as well as self-

employed contractors and sub-contractors (Source: ILO Convention C155 Occupational Safe-

ty and Health Convention, 1981).